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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Anthony Pierce | 2170820 | 2 | 04/03/2017 | Customer Dispute | Award / Judgment | $50,000.00 | $5,054,000.00 | See FINRA Report |
| James Aloysius Conwell | 1436190 | 7 | 03/08/2017 | Customer Dispute | Award / Judgment | $155,000.00 | $5,054,000.00 | See FINRA Report |
| James Aloysius Conwell | 1436190 | 7 | 01/27/2017 | Customer Dispute | Award / Judgment | $75,000.00 | $5,054,000.00 | See FINRA Report |
| Cecil Allen Ross | 2391047 | 3 | 06/03/2014 | Customer Dispute | Award / Judgment | $904,431.00 | $100,000.00 | See FINRA Report |
| Richard Robert Fulton | 1029575 | 7 | 02/10/1987 | Customer Dispute | Award / Judgment | $18,874.00 | $20,344.60 | See FINRA Report |