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 |
|---|---|---|---|---|---|---|---|---|
| Clement Jack Wohlreich | 2196264 | 1 | 01/01/1970 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Douglas George Chaffin | 44046 | 2 | 12/29/1969 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Douglas George Chaffin | 44046 | 2 | 12/29/1969 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| James Michael Allen | 5700624 | 1 | 01/01/1969 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Paul Mcevoy | 1108498 | 1 | 01/01/1969 | Civil | Final | $0.00 | $0.00 | See Allegations |
| David Louis Hofer | 1223352 | 1 | 01/01/1969 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Ronald Mark Berman | 19728 | 12 | 01/01/1969 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| Mark Clayton Glad | 222573 | 2 | 01/01/1969 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Elias Alexander Lazor | 601347 | 1 | 11/25/1968 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Penny Marie Watson | 2016864 | 2 | 10/01/1968 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations |