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 |
|---|---|---|---|---|---|---|---|---|
| David Wayne Karin | 2486154 | 6 | 08/29/2024 | Customer Dispute | Pending | $200,000.00 | $0.00 | See Allegations |
| Neil Seth Okun | 2482935 | 4 | 08/28/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |
| Robert Cleveland Hesse | 3260367 | 1 | 08/28/2024 | Customer Dispute | Pending | $7,201.70 | $0.00 | See Allegations |
| Richard Boyd Swift | 3082572 | 1 | 08/28/2024 | Customer Dispute | Pending | $28,783.20 | $0.00 | See Allegations |
| Phillip Noland Attebery | 4247195 | 2 | 08/28/2024 | Customer Dispute | Pending | $9,500,000.00 | $0.00 | See Allegations |
| Brandon Wesley Hanna | 6758707 | 7 | 08/28/2024 | Customer Dispute | Pending | $9,500,000.00 | $0.00 | See Allegations |
| Lee Alan Rosenblum | 1878178 | 1 | 08/27/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See Allegations |
| Megurditch Mike Patatian | 4047060 | 21 | 08/27/2024 | Customer Dispute | Pending | $200,000.00 | $0.00 | See Allegations |
| Ryan Gregory Caldwell | 6642132 | 2 | 08/27/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| Chad Mehle | 7008517 | 1 | 08/27/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |