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 |
|---|---|---|---|---|---|---|---|---|
| Michael Samuel Schankerman | 1616294 | 1 | 10/30/2022 | Customer Dispute | Denied | $8,276.54 | $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 |
| 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 |
| Sean Timothy Murray | 2355021 | 1 | 08/20/2009 | Customer Dispute | Denied | $96,380.50 | $0.00 | See FINRA Report |
| Barbara M Healy | 2529276 | 1 | 07/25/2008 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Lisa Fulco | 2630703 | 2 | 07/19/2006 | Customer Dispute | Denied | $9,815.85 | $0.00 | See FINRA Report |
| Hugh B Phillips | 1816426 | 1 | 09/13/2004 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |