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 |
|---|---|---|---|---|---|---|---|---|
| John William Raho | 6329927 | 1 | 03/14/2016 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Craig Richard Margolies | 2508047 | 2 | 09/10/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Francis Xavier Schiavetti | 862923 | 7 | 09/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Arthur Willard Lewis | 1438899 | 2 | 07/23/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rodney Bahy Ibrahim | 4358176 | 2 | 06/23/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Jack Goldschmidt | 5043278 | 4 | 05/07/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gregory Charlot | 5527482 | 2 | 02/08/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Edward Pinzker | 2525439 | 6 | 01/12/2015 | Customer Dispute | Denied | $14,500.00 | $0.00 | See FINRA Report |
| Frank Auletti | 2275004 | 1 | 11/05/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Edward Pinzker | 2525439 | 6 | 11/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |