Our Staff has compiled our research into a database of FINRA Broker Disclosures for A.G.P. / Alliance Global Partners. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Hemant Kathuria | 5380092 | 1 | 07/01/2024 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Daniel Jack Goldschmidt | 5043278 | 4 | 04/10/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Douglas Hartley | 2658276 | 2 | 02/21/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Roger Daniel Follis | 2653439 | 2 | 02/21/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Matt Ward | 2075525 | 3 | 02/07/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ian Keith Dietz | 731241 | 2 | 12/26/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Ross Glazer | 2818073 | 6 | 12/12/2023 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Barry A Mills | 839219 | 2 | 12/07/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles Douglas Hartley | 2658276 | 2 | 12/04/2023 | Customer Dispute | Pending | $2,600,000.00 | $0.00 | See FINRA Report |
| Roger Daniel Follis | 2653439 | 2 | 12/04/2023 | Customer Dispute | Pending | $2,600,000.00 | $0.00 | See FINRA Report |