Our Staff has compiled our research into a database of FINRA Broker Disclosures for International Assets Advisory, LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| James Aloysius Conwell | 1436190 | 7 | 06/02/2024 | Customer Dispute | Denied | $52,913.10 | $0.00 | See FINRA Report |
| Joseph George Turck | 4459497 | 1 | 05/28/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Scott Ryan Babbitt | 4057681 | 7 | 02/13/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Derek John Peterson | 1896342 | 1 | 02/06/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Ryan Babbitt | 4057681 | 7 | 10/11/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Ryan Babbitt | 4057681 | 7 | 10/11/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher Glenn Lane | 5255199 | 3 | 07/31/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brandon Reed Barile | 2554323 | 5 | 07/03/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Donald James Gunn | 1442917 | 9 | 06/28/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| David Joseph Kim | 2213830 | 7 | 05/03/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |