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 |
|---|---|---|---|---|---|---|---|---|
| Hugh B Phillips | 1816426 | 1 | 09/13/2004 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |
| Lisa Fulco | 2630703 | 2 | 03/23/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Tufts Dippel | 2810097 | 1 | 02/16/2000 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Scott Ira Loochtan | 2544304 | 1 | 05/04/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Judith Lynn McDaniel | 706142 | 2 | 05/01/1982 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |