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 |
|---|---|---|---|---|---|---|---|---|
| Hung Brandon Ly | 5500875 | 2 | 08/13/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |
| Peter Lewis Goffin | 1617710 | 10 | 08/13/2024 | Customer Dispute | Pending | $500,000.00 | $0.00 | See Allegations |
| Joseph Notarfrancesco | 6006136 | 1 | 08/13/2024 | Customer Dispute | Pending | $194,000.00 | $0.00 | See Allegations |
| Charles Perry Gemmer | 2633600 | 1 | 08/12/2024 | Customer Dispute | Pending | $30,000.00 | $0.00 | See Allegations |
| Frederick Maximilian Kort | 5376727 | 3 | 08/12/2024 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See Allegations |
| Robert Stokes Wise | 5884184 | 1 | 08/12/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |
| Jeffrey Thomas Higgins | 2871443 | 9 | 08/12/2024 | Customer Dispute | Pending | $240,000.00 | $0.00 | See Allegations |
| Andrew William Miles | 5986774 | 18 | 08/12/2024 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See Allegations |
| Tammy Elaine Bowman | 2159262 | 2 | 08/12/2024 | Customer Dispute | Pending | $140,000.00 | $0.00 | See Allegations |
| Oleg Metsaev | 4912859 | 1 | 08/12/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See Allegations |