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 |
|---|---|---|---|---|---|---|---|---|
| Ruben Cedrick Williams | 7423949 | 2 | 09/12/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Frank Michael Vecchio | 1537032 | 6 | 09/12/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Robert Vahan Seropian | 1804735 | 2 | 09/12/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| David Dean Glienke | 5502866 | 2 | 09/11/2024 | Customer Dispute | Pending | $200,000.00 | $0.00 | See Allegations |
| Jeffrey Thomas Higgins | 2871443 | 9 | 09/11/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See Allegations |
| Christopher Charles Mancini | 2774915 | 1 | 09/11/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| John A Perez-cubero | 6674954 | 3 | 09/11/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Tracy Marie Longstreet | 1768525 | 2 | 09/11/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Justin Y Gerow | 4435995 | 3 | 09/10/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Kirk James Crossen | 2742256 | 3 | 09/10/2024 | Customer Dispute | Pending | $450,000.00 | $0.00 | See Allegations |