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 |
|---|---|---|---|---|---|---|---|---|
| James Taylor Davis | 6646090 | 7 | 08/06/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| Arnold Bruce Kuhs | 2124932 | 2 | 08/06/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See Allegations |
| Sonja M Parker | 5506435 | 1 | 08/05/2024 | Customer Dispute | Denied | $26,000.00 | $0.00 | See Allegations |
| Marc Alan Mast | 4049553 | 1 | 08/05/2024 | Customer Dispute | Denied | $85,000.00 | $0.00 | See Allegations |
| Vincenzo Pietro Garganese | 6760844 | 1 | 08/05/2024 | Customer Dispute | Pending | $130,000.00 | $0.00 | See Allegations |
| Ran Regev | 5469190 | 3 | 08/05/2024 | Customer Dispute | Pending | $150,000.00 | $0.00 | See Allegations |
| Joel Daniel Harworth | 3131373 | 4 | 08/05/2024 | Customer Dispute | Pending | $60,000.00 | $0.00 | See Allegations |
| Santiago J Torres | 5644622 | 1 | 08/05/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |
| Brian Joseph Gotta | 1219917 | 4 | 08/05/2024 | Customer Dispute | Denied | $65,000.00 | $0.00 | See Allegations |
| Jeffrey A Lieberman | 1532375 | 1 | 08/05/2024 | Customer Dispute | Pending | $2,000,000.00 | $0.00 | See Allegations |