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 |
|---|---|---|---|---|---|---|---|---|
| Scott Ryan Babbitt | 4057681 | 7 | 02/09/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shannan Maureen Denison | 4417573 | 2 | 12/15/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gregory Neal Long | 2049933 | 3 | 11/21/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Peter Anthony Rumsey | 841877 | 1 | 09/10/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Susan Theresa Lowry | 3205290 | 1 | 04/27/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Theophilous Henry Woods | 724986 | 8 | 01/08/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Ryan Babbitt | 4057681 | 7 | 01/05/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Theophilous Henry Woods | 724986 | 8 | 08/24/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Chin | 1380575 | 6 | 06/04/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Chin | 1380575 | 6 | 05/12/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |