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 |
|---|---|---|---|---|---|---|---|---|
| Aubrey Leigh Nestman | 5147391 | 1 | 08/04/2024 | Customer Dispute | Denied | $12,000.00 | $0.00 | See Allegations |
| Stephen Wayne Mattocks | 2193216 | 3 | 08/03/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See Allegations |
| Stuart Jay Spivak | 1883651 | 9 | 08/02/2024 | Customer Dispute | Pending | $99,999.00 | $0.00 | See Allegations |
| Aaron S Wilkinson | 2756359 | 1 | 08/02/2024 | Customer Dispute | Pending | $173,000.00 | $0.00 | See Allegations |
| Raphael Almeida Leite Neto | 6609982 | 1 | 08/02/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See Allegations |
| Giacomo Parente | 4924478 | 2 | 08/02/2024 | Customer Dispute | Denied | $76,000.00 | $0.00 | See Allegations |
| Eric Jean Overvig | 1435223 | 3 | 08/02/2024 | Customer Dispute | Pending | $64,712.00 | $0.00 | See Allegations |
| Scott Jeffrey Mason | 1023965 | 7 | 08/02/2024 | Customer Dispute | Pending | $9,382,540.00 | $0.00 | See Allegations |
| Michael Bruce Ralby | 1301072 | 12 | 08/01/2024 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See Allegations |
| Gihan Anil Fernando | 4469669 | 62 | 08/01/2024 | Customer Dispute | Pending | $50,000.00 | $0.00 | See Allegations |