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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Barton Herold | 2021082 | 1 | 01/01/1972 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Erwin William Gerhardt | 221148 | 2 | 12/16/1971 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Brian Michael Greenman | 229163 | 3 | 11/19/1971 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Charles James Daley | 2154150 | 2 | 11/01/1971 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Jeffry Oscar Jon | 260807 | 1 | 10/14/1971 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| John Alexander Peterson | 361444 | 2 | 09/17/1971 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Richard Craig Hanseen | 1311754 | 3 | 07/14/1971 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Richard Craig Hanseen | 1311754 | 3 | 07/04/1971 | Civil | Final | $0.00 | $0.00 | See Allegations |
| James Harry Schmidt | 413973 | 1 | 06/15/1971 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Dennis Marlow | 600767 | 9 | 06/14/1971 | Regulatory | Final | $0.00 | $0.00 | See Allegations |