Our Staff has compiled our research into a database of FINRA Broker Disclosures for Axio Financial 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 |
---|---|---|---|---|---|---|---|---|
Thomas Gilbert Baughman | 4451778 | 1 | 09/01/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
Seth Adam Klein | 2456586 | 1 | 01/09/2002 | Customer Dispute | Denied | $47,131.70 | $0.00 | See FINRA Report |