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 |
|---|---|---|---|---|---|---|---|---|
| Joel Lawrence Halpern | 234602 | 11 | 05/18/1973 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Paul Francis Bertaccini | 20349 | 1 | 05/15/1973 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Miles Arthur Bahl | 10092 | 3 | 05/11/1973 | Civil | Final | $0.00 | $0.00 | See Allegations |
| Thomas Frederick Borst | 26381 | 5 | 04/09/1973 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| John Joseph Gebbia | 1180399 | 3 | 04/01/1973 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Douglas Paul Krueger | 275896 | 3 | 01/01/1973 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Ronald Lee Kiewiet | 269211 | 3 | 12/01/1972 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| James C Bradford Jr | 28198 | 2 | 11/14/1972 | Civil | Final | $0.00 | $0.00 | See Allegations |
| Peter Alden Engelbach | 201177 | 5 | 10/16/1972 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Robert Lawrence Hersh | 2351024 | 2 | 10/15/1972 | Regulatory | Final | $0.00 | $0.00 | See Allegations |