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 |
|---|---|---|---|---|---|---|---|---|
| Eric Steven Smith | 2894648 | 3 | 08/04/2017 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Robert Russel Tweed | 2339324 | 22 | 04/27/2017 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Brad Curtis Brooks | 1584633 | 9 | 10/17/2016 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Sarmen Keshishian | 6410074 | 1 | 05/18/2016 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Anthony Joseph Cantone | 1066139 | 11 | 11/20/2015 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Frank Harmon Black | 22451 | 12 | 09/15/2015 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Barry Graham Armstrong | 1305112 | 7 | 07/08/2015 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Ronald Paul Rafaloff | 1045883 | 2 | 03/13/2015 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Bruce Laurence Marra | 2319768 | 10 | 01/31/2014 | Civil | On Appeal | $0.00 | $0.00 | See Allegations |
| Johnny Glen Clifton | 2060473 | 3 | 02/17/2011 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |