Our Staff has compiled our research into a database of FINRA Broker Disclosures for AW Securities. 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 |
|---|---|---|---|---|---|---|---|---|
| Victoria Marie Bogner | 5048328 | 1 | 02/23/2024 | Customer Dispute | Final | $210,000.00 | $0.00 | See FINRA Report |
| Michael Samuel Schankerman | 1616294 | 1 | 10/30/2022 | Customer Dispute | Denied | $8,276.54 | $0.00 | See FINRA Report |
| Michael David Hostetler | 4577165 | 1 | 01/06/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Scott Towe | 7385724 | 1 | 11/15/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Michael Horseman | 851636 | 4 | 04/09/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Roger Henry Ingwersen | 255050 | 1 | 02/22/2019 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Robin C Luckett | 6849280 | 1 | 07/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kathleen Marie Carpenter | 2204356 | 2 | 01/26/2017 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Kathleen Marie Carpenter | 2204356 | 2 | 07/05/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Michael Horseman | 851636 | 4 | 04/08/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |