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 |
|---|---|---|---|---|---|---|---|---|
| Robert Macdonald Barker | 12564 | 2 | 01/01/1958 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Albert Esau Betar | 20593 | 3 | 01/01/1958 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Alan Courtney Greenberg | 228698 | 2 | 04/02/1957 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Arnold Mark Rudiger | 800390 | 4 | 06/01/1944 | Customer Dispute | Award / Judgment | $10,000.00 | $400.00 | See Allegations |
| Craig Lee Carson | 41892 | 23 | 06/20/1907 | Customer Dispute | Settled | $350,000.00 | $0.00 | See Allegations |
| David Lawrence Difiore | 2201173 | 1 | 01/19/1905 | Customer Dispute | Award / Judgment | $6,357.75 | $4,362.75 | See Allegations |