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 |
|---|---|---|---|---|---|---|---|---|
| Mark Arthur Welch | 2085171 | 4 | 03/30/1998 | Customer Dispute | Withdrawn | $25,791.20 | $0.00 | See Allegations |
| Peter Anthony Meizels | 2334477 | 2 | 03/06/1998 | Customer Dispute | Withdrawn | $20,320.00 | $0.00 | See Allegations |
| Judah Indig | 722871 | 4 | 02/11/1998 | Customer Dispute | Withdrawn | $498,000.00 | $0.00 | See Allegations |
| Matthew Miles Stroup | 873856 | 5 | 02/02/1998 | Customer Dispute | Withdrawn | $17,000.00 | $0.00 | See Allegations |
| Kim Chi Luu-tu | 2894010 | 1 | 02/01/1998 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See Allegations |
| Jeffrey John Decker | 1724886 | 4 | 01/05/1998 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See Allegations |
| Pamela Nisbet Mcwhorter | 1137851 | 2 | 12/15/1997 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See Allegations |
| Brent Martin Steinberg | 2537322 | 1 | 11/26/1997 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See Allegations |
| Poonam Rani Maheshwari | 2636576 | 2 | 11/24/1997 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See Allegations |
| Robert Eric Pollack | 1099521 | 2 | 11/21/1997 | Customer Dispute | Withdrawn | $400,000.00 | $0.00 | See Allegations |