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 |
|---|---|---|---|---|---|---|---|---|
| Lawrence Roger Rice | 375304 | 3 | 08/14/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Luis E Nin | 4372587 | 2 | 08/14/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Matthew Jason Childs | 3110916 | 6 | 08/13/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Angel Lynn Gulizio | 5311672 | 1 | 08/13/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Eric Coombs | 2743447 | 2 | 08/09/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Steven Aibel | 2692818 | 1 | 08/08/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Larry Richard Law | 1273118 | 4 | 08/08/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| John Rosario Emanuele | 1034480 | 5 | 08/08/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Paul William Nardozzi | 4169411 | 1 | 08/07/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Jack S Falzone | 7182129 | 1 | 08/06/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |