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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Cecil Sledge | 824533 | 2 | 08/30/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See Allegations |
| Kirk A O'brien | 4837590 | 1 | 08/30/2024 | Customer Dispute | Pending | $45,000.00 | $0.00 | See Allegations |
| Chadwick Kingsley Watson | 2183286 | 5 | 08/30/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See Allegations |
| Christopher J Gordon | 5714224 | 8 | 08/30/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See Allegations |
| Craig J Ferraro | 2423686 | 1 | 08/30/2024 | Customer Dispute | Pending | $47,541.00 | $0.00 | See Allegations |
| Christopher Francis Michalman | 2750759 | 2 | 08/30/2024 | Customer Dispute | Pending | $50,000.00 | $0.00 | See Allegations |
| Harry Allan Horn | 1031140 | 1 | 08/30/2024 | Customer Dispute | Pending | $70,000.00 | $0.00 | See Allegations |
| Peter James Decaprio | 1293305 | 3 | 08/30/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| David Nathan Slater | 2061869 | 2 | 08/30/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Brett Thomas Straub | 2118331 | 2 | 08/29/2024 | Customer Dispute | Pending | $300,000.00 | $0.00 | See Allegations |