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 |
|---|---|---|---|---|---|---|---|---|
| Anida Venniro | 5121189 | 5 | 09/20/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Vincent Connor Fuchs | 6602274 | 2 | 09/20/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Christian Eduardo De Berardinis | 4312327 | 3 | 09/19/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Bert Kenji Takita | 5852632 | 3 | 09/18/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Robert Kennedy Thompson | 1975407 | 2 | 09/16/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Dharmesh Vora | 2629494 | 17 | 09/16/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Richard Randy Mireles | 5288651 | 1 | 09/13/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Christina Skipper | 7097968 | 1 | 09/13/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Helen Thomasine Andrews | 4951340 | 2 | 09/12/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Ruben Cedrick Williams | 7423949 | 2 | 09/12/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |