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 Peter Tranchina | 5657849 | 4 | 12/22/2021 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| David Christopher Murray | 6514993 | 1 | 09/30/2021 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Charles Scott Burford | 1658201 | 2 | 09/22/2021 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Laurence Geoffrey Allen | 1063970 | 7 | 05/27/2021 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Mark Steven Barill | 1047016 | 7 | 09/02/2020 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Christopher Peter Tranchina | 5657849 | 4 | 06/29/2020 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Garner Allen Mabry | 3276730 | 2 | 02/20/2020 | Civil | On Appeal | $0.00 | $0.00 | See Allegations |
| Thomas John Lykos | 2017220 | 3 | 09/17/2019 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Ricky Alan Mantei | 1098981 | 45 | 08/01/2019 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Mitchell Reed Johnson | 1488814 | 9 | 01/11/2018 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |