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 | 10/01/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Edward Joseph Schiavi | 2032536 | 4 | 08/21/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sean Patrick Quinn | 1616254 | 6 | 08/08/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Chin | 1380575 | 6 | 08/04/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Christopher Glenn Lane | 5255199 | 3 | 07/14/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Jonathan Freeze | 2518935 | 2 | 07/01/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Chin | 1380575 | 6 | 05/08/2008 | Customer Dispute | Closed-No Action | $650.00 | $0.00 | See FINRA Report |
| Edward Joseph Schiavi | 2032536 | 4 | 04/21/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Aloysius Conwell | 1436190 | 7 | 04/21/2008 | Customer Dispute | Denied | $67,000.00 | $0.00 | See FINRA Report |
| James Aloysius Conwell | 1436190 | 7 | 03/13/2008 | Customer Dispute | Denied | $6,300.00 | $0.00 | See FINRA Report |