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 |
|---|---|---|---|---|---|---|---|---|
| Karl Douglas Fisher | 2687222 | 1 | 02/22/2024 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See Allegations |
| Brian C Kennedy | 2321416 | 9 | 02/22/2024 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See Allegations |
| Bradley David Fath | 2632194 | 1 | 02/22/2024 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See Allegations |
| Donald Wayne Evans | 1928091 | 3 | 02/22/2024 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See Allegations |
| Philip Joseph Amos | 3262155 | 1 | 02/20/2024 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See Allegations |
| Mark Joseph Rychel | 2262582 | 1 | 02/16/2024 | Customer Dispute | Withdrawn | $70,000.00 | $0.00 | See Allegations |
| Kenneth David Wright | 1889354 | 2 | 02/08/2024 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See Allegations |
| Daniel Steven Williams | 2274653 | 3 | 02/04/2024 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See Allegations |
| Chris David Abeyta | 6403098 | 25 | 01/11/2024 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See Allegations |
| Michael Walter Mandel | 4939165 | 6 | 01/09/2024 | Customer Dispute | Withdrawn | $75,000.00 | $0.00 | See Allegations |