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 |
|---|---|---|---|---|---|---|---|---|
| Lisa Aileen Pugel | 2506156 | 3 | 05/26/2023 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See Allegations |
| Richard Allan Gibbs | 4659304 | 1 | 05/23/2023 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See Allegations |
| Tyler William Pratt | 4384484 | 3 | 05/17/2023 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See Allegations |
| Jacob Perry Cazier | 6904198 | 5 | 05/12/2023 | Customer Dispute | Withdrawn | $15,000,000.00 | $0.00 | See Allegations |
| Stephen Romney Swensen | 2885578 | 5 | 05/12/2023 | Customer Dispute | Withdrawn | $15,000,000.00 | $0.00 | See Allegations |
| Dominick M Greco | 4375180 | 4 | 05/09/2023 | Customer Dispute | Withdrawn | $95,000.00 | $0.00 | See Allegations |
| Hagin Gifford Richeson | 5380166 | 8 | 05/02/2023 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See Allegations |
| Shirley Ank Wong | 4869184 | 12 | 04/21/2023 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See Allegations |
| Shirley Ank Wong | 4869184 | 12 | 04/21/2023 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See Allegations |
| Peter T Po | 3106974 | 19 | 04/21/2023 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See Allegations |