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 |
|---|---|---|---|---|---|---|---|---|
| Juan Rascon | 5631144 | 3 | 09/03/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| Lee Alan Rosenblum | 1878178 | 1 | 08/27/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See Allegations |
| Ryan Gregory Caldwell | 6642132 | 2 | 08/27/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| Brian W Fulton | 4209607 | 1 | 08/16/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See Allegations |
| Anthony Monaco | 7038609 | 1 | 08/15/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| Shawn Alan Manuel | 5874784 | 1 | 08/15/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| Jesse Michael Polk | 5794306 | 2 | 08/13/2024 | Customer Dispute | Denied | $300,000.00 | $0.00 | See Allegations |
| Jason Keith Norton | 4776196 | 3 | 08/12/2024 | Customer Dispute | Denied | $81,957.00 | $0.00 | See Allegations |
| Daniel Andres Aruca | 3001777 | 1 | 08/08/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| James Wides Goralnik | 4251215 | 1 | 08/08/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See Allegations |