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 |
|---|---|---|---|---|---|---|---|---|
| John Joseph Fiero | 1190133 | 2 | 12/06/2000 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Francis Martin Mcdermott | 1013320 | 11 | 01/01/2000 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Douglas Covington Osborn | 867592 | 6 | 05/04/1999 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| John Joseph Kenny | 1001752 | 4 | 05/27/1998 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Lawrence Bruce Seidman | 1380234 | 1 | 10/30/1991 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |