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 |
|---|---|---|---|---|---|---|---|---|
| Glenn Edwin Bridwell | 1783191 | 2 | 09/04/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Logan Mark Mann | 7201690 | 1 | 09/03/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations | |
| Michael Frank Paesano | 1557229 | 27 | 09/03/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Amy Nuttall Zwaan | 4857906 | 3 | 09/03/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Juan Rascon | 5631144 | 3 | 09/03/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| Roger Philip Turcotte | 1180997 | 1 | 09/03/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Eugene Cebron Thompson | 4350479 | 7 | 09/03/2024 | Customer Dispute | Pending | $350,000.00 | $0.00 | See Allegations |
| Christopher Frank Deo | 3145183 | 1 | 09/03/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Drew Matthew Peacock | 5834481 | 5 | 09/03/2024 | Customer Dispute | Settled | $16,694.60 | $0.00 | See Allegations |
| Johnathon Sawaged | 7061837 | 1 | 09/03/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations |