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 |
|---|---|---|---|---|---|---|---|---|
| Peter James Decaprio | 1293305 | 3 | 08/21/2024 | Civil | Final | $0.00 | $0.00 | See Allegations |
| Salvatore Rosario Tringali | 5141716 | 1 | 08/20/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Gregory Alan Corrie | 1982814 | 4 | 08/20/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Christopher Lee Baugh | 3250943 | 2 | 08/19/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Henry Chia-how Chang | 4049732 | 5 | 08/19/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Cain Benjamin Kobert | 2673742 | 2 | 08/19/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| John Fleming Reutemann | 374456 | 8 | 08/19/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Helen Grace Caldwell | 1957501 | 7 | 08/16/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Shailesh Narottam Negandhi | 4897340 | 3 | 08/16/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Marc Barton | 2937356 | 3 | 08/15/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |