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 |
|---|---|---|---|---|---|---|---|---|
| Robert Paul Matheson | 1318937 | 1 | 01/01/1995 | Customer Dispute | Denied | $700,000.00 | $0.00 | See Allegations |
| Jack Winfield Graves | 1349955 | 12 | 08/26/1992 | Customer Dispute | Denied | $661,387.00 | $0.00 | See Allegations |
| Daniel Jerome Fair | 722195 | 2 | 08/21/1991 | Customer Dispute | Denied | $1,500,000.00 | $0.00 | See Allegations |
| Howard Redgate | 372311 | 1 | 11/09/1990 | Customer Dispute | Denied | $36,286.90 | $0.00 | See Allegations |
| John Richard Bickel | 1229797 | 2 | 05/05/1990 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See Allegations |
| Claire Ruth Fox | 1020113 | 1 | 07/01/1989 | Customer Dispute | Denied | $140,000.00 | $0.00 | See Allegations |
| Josef Benporat | 18497 | 1 | 03/28/1989 | Customer Dispute | Denied | $706,565.00 | $0.00 | See Allegations |
| Michael Brent Hanson | 1832012 | 3 | 09/12/1985 | Customer Dispute | Denied | $90,000.00 | $0.00 | See Allegations |
| Allan Christopher English | 861313 | 2 | 04/01/1981 | Customer Dispute | Denied | $14,000.00 | $0.00 | See Allegations |