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 |
|---|---|---|---|---|---|---|---|---|
| Fred Stein | 434681 | 1 | 12/01/1961 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Frederick Godfrey Uhlmann | 451370 | 1 | 03/16/1961 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| John Frederick Benjamin | 18112 | 1 | 03/16/1961 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Robert Macdonald Barker | 12564 | 2 | 01/01/1958 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Robert Macdonald Barker | 12564 | 2 | 01/01/1958 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Albert Esau Betar | 20593 | 3 | 01/01/1958 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Alan Courtney Greenberg | 228698 | 2 | 04/02/1957 | Regulatory | Final | $0.00 | $0.00 | See Allegations |