Our Staff has compiled our research into a database of FINRA Broker Disclosures for Private Client Services, 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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Herman Wedel | 1221992 | 3 | 05/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Bradley William Werner | 2329211 | 2 | 03/27/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tim David Hakes | 2399374 | 4 | 01/19/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joseph Brendan Frazier | 5837358 | 4 | 01/10/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Brendan Frazier | 5837358 | 4 | 11/27/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Brendan Frazier | 5837358 | 4 | 11/27/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Thomas Stolberg | 5678544 | 1 | 10/31/2023 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Douglas Jon Lode | 4134521 | 1 | 10/31/2023 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Joseph Brendan Frazier | 5837358 | 4 | 10/25/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Garth James Lurvey | 4729301 | 4 | 08/21/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |