Our Staff has compiled our research into a database of FINRA Broker Disclosures for GWN Securities Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Zachary Gildenberg | 6592485 | 2 | 03/08/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Susan Doxsee Fristoe | 1177720 | 1 | 07/18/2011 | Customer Dispute | Closed-No Action | $27,511.00 | $0.00 | See FINRA Report |
| James Frederick Hanna | 4314617 | 2 | 04/14/2011 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Trent Alan Schuler | 2535041 | 5 | 02/23/2011 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Ernest Fred Schultz | 6735823 | 2 | 11/30/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ernest Fred Schultz | 6735823 | 2 | 11/18/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Thomas Phillips | 4464336 | 1 | 09/16/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Frederick Hanna | 4314617 | 2 | 07/27/2010 | Customer Dispute | Settled | $445,000.00 | $0.00 | See FINRA Report |
| David Glenn Settelmyer | 2519384 | 2 | 06/22/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anthony Scott Pavia | 2019194 | 1 | 04/22/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |