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 |
|---|---|---|---|---|---|---|---|---|
| Kelly G Richards | 4918409 | 1 | 08/06/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Bartolomeo Giordano | 2113945 | 2 | 11/18/2009 | Employment Separation After Allegations | $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 |
| Christopher Bartolomeo Giordano | 2113945 | 2 | 06/22/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Barbara M Healy | 2529276 | 1 | 07/25/2008 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Judith Lynn McDaniel | 706142 | 2 | 04/30/2007 | Customer Dispute | Closed-No Action | $9,807.00 | $0.00 | See FINRA Report |
| Lisa Fulco | 2630703 | 2 | 07/19/2006 | Customer Dispute | Denied | $9,815.85 | $0.00 | See FINRA Report |
| Beau Daniel McGuire | 6926854 | 1 | 10/22/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Michael Horseman | 851636 | 4 | 04/25/2005 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| John Michael Horseman | 851636 | 4 | 03/11/2005 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |