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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Lawrence Kelly | 2293119 | 7 | 08/27/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |
| Hugh James Mcguire | 1858293 | 1 | 08/27/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See Allegations |
| Francisco Javier Cabral | 5257195 | 2 | 08/27/2024 | Customer Dispute | Pending | $450,000.00 | $0.00 | See Allegations |
| Christopher John Jacobi | 1648679 | 5 | 08/26/2024 | Customer Dispute | Pending | $250,000.00 | $0.00 | See Allegations |
| Scott Jeffrey Mason | 1023965 | 7 | 08/26/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |
| Peter J Cox | 4501828 | 2 | 08/25/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |
| Edward Williams Ricker | 6008239 | 2 | 08/23/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| Timothy John Cleveland | 5391137 | 1 | 08/23/2024 | Customer Dispute | Pending | $25,000.00 | $0.00 | See Allegations |
| Jeffrey Thomas Higgins | 2871443 | 9 | 08/23/2024 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See Allegations |
| Stephen Richard Smith | 2632131 | 1 | 08/22/2024 | Customer Dispute | Pending | $200,000.00 | $0.00 | See Allegations |