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 |
|---|---|---|---|---|---|---|---|---|
| Clement Jack Wohlreich | 2196264 | 1 | 01/01/1970 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Douglas George Chaffin | 44046 | 2 | 12/29/1969 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Douglas George Chaffin | 44046 | 2 | 12/29/1969 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| James Michael Allen | 5700624 | 1 | 01/01/1969 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| David Louis Hofer | 1223352 | 1 | 01/01/1969 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Mark Clayton Glad | 222573 | 2 | 01/01/1969 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Elias Alexander Lazor | 601347 | 1 | 11/25/1968 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Stuart Marshall Beringer | 19404 | 1 | 06/12/1967 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Johnnie Oneal Marshall | 1113551 | 2 | 06/01/1967 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Adolph Louis Bennett | 18177 | 3 | 05/15/1967 | Regulatory | Final | $0.00 | $0.00 | See Allegations |