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FINRA Broker Allegations

Our Staff has compiled our research into a database of FINRA Broker Allegations.

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Displaying 10 out of 214,556 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted Allegations
Nathaniel Royce Clay45255411102/02/2023RegulatoryFinal$0.00$0.00See Allegations
Archie Abel Blood1861277102/01/2023RegulatoryFinal$0.00$0.00See Allegations
Robert Allan Stroud1207226502/01/2023RegulatoryFinal$0.00$0.00See Allegations
Robert Scott Smith14123331202/01/2023Customer DisputePending$0.00$0.00See Allegations
Roger Lee Arnold5284151502/01/2023RegulatoryPending$0.00$0.00See Allegations
Matthew John Boehm4418029101/31/2023Customer DisputePending$75,000.00$0.00See Allegations
Robert Jeffrey Boschke2813139501/31/2023RegulatoryFinal$0.00$0.00See Allegations
David John Zauner2027403201/31/2023RegulatoryFinal$0.00$0.00See Allegations
Steven G Brettler4367351201/31/2023RegulatoryFinal$0.00$0.00See Allegations
Kenneth John Byrne1191939301/31/2023RegulatoryFinal$0.00$0.00See Allegations

214,556 Results

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