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 |
|---|---|---|---|---|---|---|---|---|
| Thomas William Prichard | 6488840 | 1 | 08/08/2024 | Customer Dispute | Denied | $17,500.00 | $0.00 | See Allegations |
| Marc Jacob Jacobson | 1908557 | 9 | 08/07/2024 | Customer Dispute | Denied | $13,318.30 | $0.00 | See Allegations |
| Sonja M Parker | 5506435 | 1 | 08/05/2024 | Customer Dispute | Denied | $26,000.00 | $0.00 | See Allegations |
| Marc Alan Mast | 4049553 | 1 | 08/05/2024 | Customer Dispute | Denied | $85,000.00 | $0.00 | See Allegations |
| Brian Joseph Gotta | 1219917 | 4 | 08/05/2024 | Customer Dispute | Denied | $65,000.00 | $0.00 | See Allegations |
| Aubrey Leigh Nestman | 5147391 | 1 | 08/04/2024 | Customer Dispute | Denied | $12,000.00 | $0.00 | See Allegations |
| Stephen Wayne Mattocks | 2193216 | 3 | 08/03/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See Allegations |
| Raphael Almeida Leite Neto | 6609982 | 1 | 08/02/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See Allegations |
| Giacomo Parente | 4924478 | 2 | 08/02/2024 | Customer Dispute | Denied | $76,000.00 | $0.00 | See Allegations |
| Jeffrey Kercher Gantz | 2318683 | 1 | 07/31/2024 | Customer Dispute | Denied | $150,000.00 | $0.00 | See Allegations |