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 |
|---|---|---|---|---|---|---|---|---|
| Dale Edward Walts | 1042772 | 1 | 07/21/2020 | Customer Dispute | Settled | $10,596.00 | $0.00 | See FINRA Report |
| Kyle David Whaley | 4076513 | 1 | 02/03/2020 | Customer Dispute | Denied | $178,830.00 | $0.00 | See FINRA Report |
| Amy D Haupert | 2757525 | 4 | 12/20/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frederick Robert Stortecky | 4718060 | 4 | 11/26/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frederick Robert Stortecky | 4718060 | 4 | 11/26/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Kent Boseman | 1227538 | 3 | 10/02/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Andrea Marie Boenzi | 6254742 | 1 | 09/11/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frederick Robert Stortecky | 4718060 | 4 | 09/03/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Amy D Haupert | 2757525 | 4 | 08/21/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Phillip Fischer | 1772068 | 1 | 06/03/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |