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 |
|---|---|---|---|---|---|---|---|---|
| Michael Fasciglione | 1806486 | 30 | 08/09/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |
| Daniel Andres Aruca | 3001777 | 1 | 08/08/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| Nancy Ellen Biddle | 2134532 | 4 | 08/08/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See Allegations |
| Mark Charles Cohen | 4534879 | 10 | 08/08/2024 | Customer Dispute | Pending | $125,000.00 | $0.00 | See Allegations |
| George Woerdeman | 1220689 | 3 | 08/08/2024 | Customer Dispute | Pending | $150,000.00 | $0.00 | See Allegations |
| Michael Ramon Delao | 2406749 | 9 | 08/08/2024 | Customer Dispute | Settled | $8,613.87 | $0.00 | See Allegations |
| James Wides Goralnik | 4251215 | 1 | 08/08/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See Allegations |
| Thomas William Prichard | 6488840 | 1 | 08/08/2024 | Customer Dispute | Denied | $17,500.00 | $0.00 | See Allegations |
| Scott Jeffrey Mason | 1023965 | 7 | 08/08/2024 | Customer Dispute | Pending | $1,250,000.00 | $0.00 | See Allegations |
| Cynthia Ann Giovacchino | 3274194 | 11 | 08/07/2024 | Customer Dispute | Pending | $300,000.00 | $0.00 | See Allegations |