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 Edward Ratliff | 1669731 | 9 | 04/01/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shannan Maureen Denison | 4417573 | 2 | 03/26/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Myra Pearle Nicholson | 2740029 | 1 | 03/12/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Robert Fulton | 1029575 | 7 | 01/11/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sean Patrick Quinn | 1616254 | 6 | 12/07/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew van Blackwell | 1284815 | 3 | 10/01/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Theophilous Henry Woods | 724986 | 8 | 08/03/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brandon Reed Barile | 2554323 | 5 | 06/29/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Theophilous Henry Woods | 724986 | 8 | 06/08/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| H Craig Rappaport | 1916976 | 5 | 06/04/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |