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 | 10/13/1972 | Civil | Final | $0.00 | $0.00 | See Allegations |
| Cecil Phillip Berry | 2192889 | 1 | 09/01/1972 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| James Thomas Mahoney | 2114918 | 1 | 06/26/1972 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Leo Glassman | 222833 | 3 | 06/07/1972 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| John Alexander Peterson | 361444 | 2 | 05/11/1972 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Albert Lyman Welsh | 2119508 | 1 | 03/13/1972 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Hal Horace Smith | 1107410 | 1 | 03/10/1972 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| William Joseph Kirby | 1282742 | 1 | 02/01/1972 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| David Marvin Nee | 345531 | 3 | 01/01/1972 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Richard Gregory Camp | 38986 | 2 | 01/01/1972 | Regulatory | Final | $0.00 | $0.00 | See Allegations |