Our Staff has compiled our research into a database of FINRA Broker Allegations.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Leo Joseph Govoni | 726213 | 2 | 02/19/2024 | Civil | Pending | $0.00 | $0.00 | See Allegations |
| Leslie Lyle Pincombe | 1399800 | 3 | 02/06/2024 | Civil | Pending | $0.00 | $0.00 | See Allegations |
| Richard Robert Ruskey | 1466599 | 1 | 01/31/2024 | Civil | Pending | $0.00 | $0.00 | See Allegations |
| Jesus Rodriguez | 4888685 | 16 | 01/24/2024 | Civil | Pending | $0.00 | $0.00 | See Allegations |
| Andrew M Komarow | 5838564 | 6 | 12/08/2023 | Civil | Pending | $0.00 | $0.00 | See Allegations |
| August Anthony Ferretti | 6781808 | 2 | 11/01/2023 | Civil | Pending | $0.00 | $0.00 | See Allegations |
| Sandra Reif | 2797499 | 2 | 10/31/2023 | Civil | Pending | $0.00 | $0.00 | See Allegations |
| Jonmark Richardson | 4919603 | 5 | 10/30/2023 | Civil | Pending | $0.00 | $0.00 | See Allegations |
| Larry Dean Henderson | 6168717 | 1 | 10/24/2023 | Civil | Pending | $0.00 | $0.00 | See Allegations |
| Julie Darrah | 2102014 | 3 | 10/20/2023 | Civil | Pending | $0.00 | $0.00 | See Allegations |