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 |
|---|---|---|---|---|---|---|---|---|
| Gregory John Frentzen | 1127840 | 1 | 09/11/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| Jules Frank Delalla | 2159117 | 2 | 09/11/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| Steve Tien Cao | 1450293 | 1 | 09/10/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| Mary Alice Hansenfaris | 1076543 | 8 | 09/09/1997 | Customer Dispute | Denied | $22,250.00 | $0.00 | See Allegations |
| Stephen Howard Davis | 1264575 | 6 | 09/08/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| Bruce Michael Cohen | 1201263 | 6 | 09/05/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| David Roger Gaeckler | 1059215 | 4 | 09/05/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| David Roger Gaeckler | 1059215 | 4 | 09/05/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| David Roger Gaeckler | 1059215 | 4 | 09/05/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| Kim Marie Tricas | 2176809 | 3 | 09/05/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |