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 Anthony Nelson | 1365220 | 7 | 05/19/2005 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Shelby Jean Smith | 1657402 | 2 | 02/17/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shelby Jean Smith | 1657402 | 2 | 02/15/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Chandis D Ferguson | 2579994 | 13 | 01/31/2005 | Customer Dispute | Closed-No Action | $21,000.00 | $0.00 | See FINRA Report |
| Steven Michael Boyd | 1123044 | 9 | 10/21/2004 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Michael Boyd | 1123044 | 9 | 02/29/2004 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Chandis D Ferguson | 2579994 | 13 | 02/03/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Richard Robert Fulton | 1029575 | 7 | 01/27/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Anthony Pierce | 2170820 | 2 | 01/07/2004 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Chandis D Ferguson | 2579994 | 13 | 07/31/2003 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |