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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Jordan Werthe | 5664041 | 5 | 05/04/2023 | Civil | Pending | $0.00 | $0.00 | See Allegations |
| Mark John Fenlon | 1466512 | 1 | 04/12/2023 | Civil | Pending | $0.00 | $0.00 | See Allegations |
| Randal Clark Bailey | 1854651 | 2 | 03/30/2023 | Civil | Pending | $0.00 | $0.00 | See Allegations |
| Darryl Matthew Cohen | 2786613 | 19 | 03/23/2023 | Civil | Pending | $0.00 | $0.00 | See Allegations |
| Frank Michael Vecchio | 1537032 | 6 | 03/23/2023 | Civil | Final | $0.00 | $0.00 | See Allegations |
| Scott Patrick Trease | 1298222 | 3 | 03/22/2023 | Civil | Final | $0.00 | $0.00 | See Allegations |
| Cullen Breen | 5818590 | 1 | 03/21/2023 | Civil | Pending | $0.00 | $0.00 | See Allegations |
| Jeffrey Thomas Cutter | 4733298 | 3 | 03/17/2023 | Civil | Pending | $0.00 | $0.00 | See Allegations |
| Kevin Helmut Paffrath | 7493981 | 2 | 03/15/2023 | Civil | Pending | $0.00 | $0.00 | See Allegations |
| Daniel Evan Kaplan | 6609015 | 4 | 03/03/2023 | Civil | Pending | $0.00 | $0.00 | See Allegations |