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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Walter Hannes | 1462241 | 5 | 09/09/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Mei Wang Davidson | 6787550 | 2 | 09/06/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| John C Shen | 4859035 | 3 | 09/06/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Frederick Bruce Salus | 1626385 | 1 | 09/06/2024 | Customer Dispute | Pending | $595,000.00 | $0.00 | See Allegations |
| Megurditch Mike Patatian | 4047060 | 21 | 09/06/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See Allegations |
| Megurditch Mike Patatian | 4047060 | 21 | 09/06/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See Allegations |
| Dusan Tabak | 6930129 | 1 | 09/06/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations | |
| John Kevin Egan | 2221733 | 9 | 09/06/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See Allegations |
| David William Sosa | 6725101 | 2 | 09/06/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See Allegations |
| Thomas Williams Rinek | 2171430 | 2 | 09/05/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |