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 |
|---|---|---|---|---|---|---|---|---|
| Charles Langdon Bailey | 10165 | 4 | 03/01/1968 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| Stuart Marshall Beringer | 19404 | 1 | 06/12/1967 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Johnnie Oneal Marshall | 1113551 | 2 | 06/01/1967 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Adolph Louis Bennett | 18177 | 3 | 05/15/1967 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Keith Allen Bjerk | 1562316 | 5 | 04/13/1967 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations | |
| Robert Owen Safford | 1056808 | 1 | 02/28/1967 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Felix Roman Park | 356437 | 11 | 09/01/1966 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Barry Tucker | 450075 | 5 | 08/08/1966 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Donald Alex Nelson | 1318982 | 2 | 08/01/1966 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations | |
| John Wilson Love | 1467137 | 1 | 12/01/1964 | Regulatory | Final | $0.00 | $0.00 | See Allegations |