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 |
|---|---|---|---|---|---|---|---|---|
| Benjamin Joseph Baum | 15023 | 1 | 04/19/1971 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| William Mac Parks | 356968 | 1 | 03/12/1971 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Lawrence Gene Adelman | 1453 | 3 | 02/18/1971 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Vincent Joseph Maria Houben | 1192254 | 1 | 01/04/1971 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Barry Julius Berman | 1627913 | 1 | 01/01/1971 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| James William Ivey | 255754 | 1 | 10/01/1970 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Patrick Edward Griffin | 229954 | 2 | 09/11/1970 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Reuben Rose | 1596444 | 2 | 08/07/1970 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Gerald Hoskile Adelson | 1478 | 2 | 07/16/1970 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Irwin Jules Forman | 211278 | 1 | 07/15/1970 | Regulatory | Final | $0.00 | $0.00 | See Allegations |