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 |
|---|---|---|---|---|---|---|---|---|
| William Dale Dobbs | 1064156 | 17 | 08/01/2024 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Lilia Nia | 6018019 | 3 | 11/15/2023 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| William Henry Weisbrod | 812664 | 6 | 11/15/2023 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| John E Pelletier | 4205289 | 2 | 09/21/2023 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Michael Ciro Colletti | 4577898 | 4 | 02/15/2023 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Mark Sam Kolta | 5324620 | 30 | 12/29/2022 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Laurence Geoffrey Allen | 1063970 | 7 | 09/23/2022 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| David Thomas Hixon | 4707468 | 4 | 07/20/2022 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Suzanne Marie Capellini | 1357703 | 1 | 06/01/2022 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Peter James Fetherston | 2108610 | 5 | 05/03/2022 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |