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 |
|---|---|---|---|---|---|---|---|---|
| Glenn Richard Toussaint | 1145760 | 3 | 01/23/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Aloysius Conwell | 1436190 | 7 | 11/06/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Edward Ratliff | 1669731 | 9 | 05/22/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Julius Potocsny | 2417184 | 5 | 03/28/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Leo Richard Vassallo | 1920639 | 2 | 03/27/2006 | Customer Dispute | Settled | $46,175.00 | $0.00 | See FINRA Report |
| Curtis E Musta | 4477023 | 4 | 01/01/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Edward Ratliff | 1669731 | 9 | 11/09/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Edward Ratliff | 1669731 | 9 | 11/09/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Miles Hartlett | 1022139 | 5 | 08/23/2005 | Customer Dispute | Settled | $185,000.00 | $0.00 | See FINRA Report |
| Sean Patrick Quinn | 1616254 | 6 | 06/09/2005 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |