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 |
|---|---|---|---|---|---|---|---|---|
| Rudolf Alexander Fernandez | 1107499 | 1 | 08/07/1998 | Customer Dispute | Withdrawn | $24,500.00 | $0.00 | See Allegations |
| Gregory Grycan | 1663960 | 1 | 07/29/1998 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See Allegations |
| Dennis John Loiacono | 732207 | 1 | 07/16/1998 | Customer Dispute | Withdrawn | $400,000.00 | $0.00 | See Allegations |
| Anthony Braxton Jernigan | 1026272 | 1 | 07/09/1998 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See Allegations |
| John Harold Carswell | 862983 | 6 | 06/16/1998 | Customer Dispute | Withdrawn | $221,000.00 | $0.00 | See Allegations |
| Lance Robert Cuoco | 2122447 | 4 | 05/11/1998 | Customer Dispute | Withdrawn | $500,000.00 | $0.00 | See Allegations |
| Thomas Joseph Chretien | 2685676 | 2 | 05/06/1998 | Customer Dispute | Withdrawn | $40,000,000.00 | $0.00 | See Allegations |
| Ronald Dale Ginyard | 725869 | 3 | 05/06/1998 | Customer Dispute | Withdrawn | $70,000.00 | $0.00 | See Allegations |
| James Lewis Fulton | 710326 | 8 | 04/21/1998 | Customer Dispute | Withdrawn | $13,000.00 | $0.00 | See Allegations |
| Gregory John Halstead | 1626685 | 6 | 04/10/1998 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See Allegations |