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 |
|---|---|---|---|---|---|---|---|---|
| Benjamin Sheffield Jaffray | 1476913 | 1 | 06/01/1964 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Dale Edward Frey | 214215 | 4 | 01/01/1964 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Reuben Rose | 1596444 | 2 | 07/15/1963 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Robert Roy Detwiler | 66407 | 1 | 11/11/1962 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Theodore Grosack | 230718 | 2 | 11/01/1962 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Melville Steuart Brown | 32720 | 2 | 09/01/1962 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Fred Stein | 434681 | 1 | 12/01/1961 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Frederick Godfrey Uhlmann | 451370 | 1 | 03/16/1961 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| John Frederick Benjamin | 18112 | 1 | 03/16/1961 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Robert Macdonald Barker | 12564 | 2 | 01/01/1958 | Regulatory | Final | $0.00 | $0.00 | See Allegations |