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 |
|---|---|---|---|---|---|---|---|---|
| Todd Arthur Knapp | 3028214 | 6 | 01/28/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert James D'Andria | 1916172 | 8 | 01/03/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Warren Flecca | 2719482 | 1 | 12/24/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theophilous Henry Woods | 724986 | 8 | 12/19/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cecil Allen Ross | 2391047 | 3 | 12/18/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Fred G Horrocks | 2514244 | 1 | 12/09/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Cesar Emilio Olivares | 5291012 | 1 | 11/22/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Scott Ryan Babbitt | 4057681 | 7 | 10/29/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| H Craig Rappaport | 1916976 | 5 | 07/26/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Barton Johnson | 1675395 | 1 | 06/07/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |