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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Thomas Higgins | 2871443 | 9 | 08/21/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See Allegations |
| Kambiz Ghazanfari | 3050671 | 2 | 08/21/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |
| Steven Lamar Nielsen | 4184826 | 11 | 08/21/2024 | Customer Dispute | Pending | $50,000.00 | $0.00 | See Allegations |
| Mark Heath Woodward | 4064469 | 1 | 08/21/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See Allegations |
| Cameron Joseph Woodbury | 6242348 | 1 | 08/21/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |
| Shawn Patrick Lee | 5892651 | 1 | 08/21/2024 | Customer Dispute | Pending | $250,000.00 | $0.00 | See Allegations |
| Michael Fasciglione | 1806486 | 30 | 08/21/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |
| Rajesh Markan | 4553309 | 3 | 08/20/2024 | Customer Dispute | Pending | $200,000.00 | $0.00 | See Allegations |
| Jared Michael Skemp | 4203805 | 1 | 08/20/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See Allegations |
| Craig Brinton | 5498737 | 3 | 08/20/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |