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 |
|---|---|---|---|---|---|---|---|---|
| Betsy Lou Whipple | 2703262 | 7 | 09/17/2024 | Customer Dispute | Pending | $50,000.00 | $0.00 | See Allegations |
| Robert Kennedy Thompson | 1975407 | 2 | 09/16/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Dharmesh Vora | 2629494 | 17 | 09/16/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Richard Randy Mireles | 5288651 | 1 | 09/13/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Megurditch Mike Patatian | 4047060 | 21 | 09/13/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See Allegations |
| Christina Skipper | 7097968 | 1 | 09/13/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Chris Fraijo | 6981977 | 1 | 09/13/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations | |
| Bowman James Nicholson | 6050450 | 1 | 09/12/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See Allegations |
| Todd Michael Thomas | 2556617 | 1 | 09/12/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations | |
| Helen Thomasine Andrews | 4951340 | 2 | 09/12/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |