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 |
|---|---|---|---|---|---|---|---|---|
| James Gregory Shaw | 2221056 | 4 | 11/10/2009 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| James Gregory Shaw | 2221056 | 4 | 11/10/2009 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Ronnie Hoyt Bell | 2234282 | 2 | 09/09/2009 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Tonda Lea Davis | 4379083 | 1 | 04/10/2008 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Peter John Demarigny | 2883986 | 2 | 03/28/2008 | Civil | On Appeal | $0.00 | $0.00 | See Allegations |
| Ranjit Mangha Kripalani | 1474932 | 7 | 11/14/2007 | Civil | On Appeal | $0.00 | $0.00 | See Allegations |
| John David Mcevoy | 1955637 | 1 | 06/17/2005 | Civil | On Appeal | $0.00 | $0.00 | See Allegations |
| William Andrew Ballentine | 1377647 | 3 | 05/18/2004 | Civil | On Appeal | $0.00 | $0.00 | See Allegations |
| Eric James Brown | 2203972 | 4 | 04/06/2004 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Yanshi Rock Jin | 2163101 | 3 | 10/04/2001 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |