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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Philip Arnella | 4886531 | 2 | 09/05/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Glenn Edwin Bridwell | 1783191 | 2 | 09/04/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Michael Frank Paesano | 1557229 | 27 | 09/03/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Amy Nuttall Zwaan | 4857906 | 3 | 09/03/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Roger Philip Turcotte | 1180997 | 1 | 09/03/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Christopher Frank Deo | 3145183 | 1 | 09/03/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Peter James Decaprio | 1293305 | 3 | 08/30/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| David Nathan Slater | 2061869 | 2 | 08/30/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Richard Celis Davalos | 7194114 | 1 | 08/28/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Jason W Bostian | 6203051 | 1 | 08/28/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |