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 |
|---|---|---|---|---|---|---|---|---|
| Wayne Stillman Francis Ross | 2070569 | 1 | 08/28/1997 | Customer Dispute | Denied | $5,794.00 | $0.00 | See Allegations |
| Michael Andrew Thomas | 2186146 | 1 | 08/27/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| John James Petracco | 1066918 | 13 | 08/27/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| John Robert Cook | 1894803 | 3 | 08/26/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| Howard I Katz | 1025634 | 2 | 08/26/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| Stephen John Wood | 1386634 | 2 | 08/26/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| Joshua Daniel Brown | 2304799 | 2 | 08/24/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| David Earl Nash | 1385720 | 3 | 08/22/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| Paul Charles Fragakis | 1559036 | 2 | 08/22/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| Thomas Joseph O'reilly | 2407621 | 1 | 08/22/1997 | Customer Dispute | Denied | $7,989.00 | $0.00 | See Allegations |