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 |
|---|---|---|---|---|---|---|---|---|
| Luis Henrique Pires | 4242705 | 2 | 09/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy D Haupert | 2757525 | 5 | 09/08/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Paul Johnson | 4973276 | 1 | 08/11/2017 | Customer Dispute | Closed-No Action | $36,000.00 | $0.00 | See FINRA Report |
| Brian D Addis | 5838052 | 6 | 06/27/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David Karl Haase | 2939178 | 1 | 06/27/2017 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Yuvraj Pratap Sisodia | 5480756 | 1 | 06/16/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Taylor Legare Kollen | 5470746 | 1 | 06/16/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jimmy Ray Jenkins | 4990521 | 1 | 05/04/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian D Addis | 5838052 | 6 | 04/05/2017 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Sean Kevin Reddington | 3047707 | 1 | 03/08/2017 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |