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 |
|---|---|---|---|---|---|---|---|---|
| Andrew William Miles | 5986774 | 18 | 08/22/2024 | Customer Dispute | Pending | $350,000.00 | $0.00 | See Allegations |
| Thaddaeus Daniel Allen | 5644772 | 2 | 08/22/2024 | Customer Dispute | Pending | $104,000.00 | $0.00 | See Allegations |
| Rodney Wayne Rich | 714642 | 2 | 08/22/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| Philippus Theunis Van Staden | 4489166 | 15 | 08/22/2024 | Customer Dispute | Pending | $350,000.00 | $0.00 | See Allegations |
| Donald L Hansen | 3207894 | 3 | 08/22/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |
| John C Riley | 1096019 | 4 | 08/22/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |
| Christopher Delbert Martin | 4179127 | 3 | 08/21/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |
| Mark Elliot Zorn | 2056837 | 3 | 08/21/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See Allegations |
| Brent Alan Nelson | 3026585 | 7 | 08/21/2024 | Customer Dispute | Pending | $180,000.00 | $0.00 | See Allegations |
| Thomas Francis Clark | 729345 | 3 | 08/21/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See Allegations |