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 |
|---|---|---|---|---|---|---|---|---|
| Kyle William Chapman | 6303483 | 2 | 09/05/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Roy Kevin Williams | 843607 | 3 | 09/05/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Jay Lindsay Geaslen | 2124281 | 3 | 09/05/2024 | Customer Dispute | Settled | $25,000.00 | $0.00 | See Allegations |
| Ali Abbas Hassan Taj | 3146053 | 2 | 09/05/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Drew Matthew Peacock | 5834481 | 5 | 09/05/2024 | Customer Dispute | Pending | $607,235.00 | $0.00 | See Allegations |
| Christopher Philip Arnella | 4886531 | 2 | 09/05/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Rajesh Markan | 4553309 | 3 | 09/04/2024 | Customer Dispute | Pending | $420,000.00 | $0.00 | See Allegations |
| John Howley Whalen | 1900188 | 3 | 09/04/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See Allegations |
| Megurditch Mike Patatian | 4047060 | 21 | 09/04/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See Allegations |
| Robert Edelman | 5652556 | 1 | 09/04/2024 | Customer Dispute | Pending | $27,090.00 | $0.00 | See Allegations |