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 |
|---|---|---|---|---|---|---|---|---|
| Carlo Wayne Corzine | 1928723 | 4 | 12/27/2023 | Customer Dispute | Withdrawn | $15,880.00 | $0.00 | See Allegations |
| Shirley Ank Wong | 4869184 | 12 | 12/26/2023 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See Allegations |
| Chuck A Roberts | 2064602 | 22 | 12/13/2023 | Customer Dispute | Withdrawn | $1,000,000.00 | $0.00 | See Allegations |
| Hugo Fischer Mantilla | 2197853 | 1 | 12/01/2023 | Customer Dispute | Withdrawn | $20,000,000.00 | $0.00 | See Allegations |
| Roberto Jose Fortuno | 2323674 | 1 | 12/01/2023 | Customer Dispute | Withdrawn | $800,000.00 | $0.00 | See Allegations |
| Jose Guillermo Arias Rodriguez | 2085294 | 1 | 12/01/2023 | Customer Dispute | Withdrawn | $800,000.00 | $0.00 | See Allegations |
| Michael Leonard Whitaker | 1739854 | 10 | 11/21/2023 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See Allegations |
| Walter Allan Huber | 1760163 | 3 | 11/20/2023 | Customer Dispute | Withdrawn | $50,000.00 | $0.00 | See Allegations |
| Thomas George Anderson | 4764223 | 1 | 11/17/2023 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See Allegations |
| Michael William Reilly | 6550840 | 1 | 11/14/2023 | Customer Dispute | Withdrawn | $30,000.00 | $0.00 | See Allegations |