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 Alexander Peterson | 361444 | 2 | 09/17/1971 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Richard Craig Hanseen | 1311754 | 3 | 07/14/1971 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| James Harry Schmidt | 413973 | 1 | 06/15/1971 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Dennis Marlow | 600767 | 9 | 06/14/1971 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Benjamin Joseph Baum | 15023 | 1 | 04/19/1971 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| William Mac Parks | 356968 | 1 | 03/12/1971 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Lawrence Gene Adelman | 1453 | 3 | 02/18/1971 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Vincent Joseph Maria Houben | 1192254 | 1 | 01/04/1971 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Barry Julius Berman | 1627913 | 1 | 01/01/1971 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| James William Ivey | 255754 | 1 | 10/01/1970 | Regulatory | Final | $0.00 | $0.00 | See Allegations |