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 |
|---|---|---|---|---|---|---|---|---|
| Jeremy Charles Maurer | 5801701 | 1 | 08/14/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |
| Wendell Holmes Trapp | 6177720 | 12 | 08/14/2024 | Customer Dispute | Pending | $7,734.58 | $0.00 | See Allegations |
| Andrew Jon Galy | 1915564 | 7 | 08/14/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |
| Norbert Helmut Filian | 2998784 | 3 | 08/14/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |
| Alexander Patrick Kline | 1271785 | 10 | 08/14/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |
| Elisha Weiss | 4785230 | 3 | 08/14/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |
| William Ware Gouldin | 1262721 | 2 | 08/14/2024 | Customer Dispute | Pending | $600,000.00 | $0.00 | See Allegations |
| William Langston Laury | 5081969 | 5 | 08/14/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See Allegations |
| Neal Edward Hayias | 854703 | 3 | 08/14/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |
| Jesse Michael Polk | 5794306 | 2 | 08/13/2024 | Customer Dispute | Denied | $300,000.00 | $0.00 | See Allegations |