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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Franklin Sellers | 1033247 | 2 | 11/18/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Terry Alexander Moore | 4115171 | 3 | 09/11/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph George Roccosalvo | 1062791 | 5 | 07/02/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Timothy J Davis | 5974178 | 1 | 06/20/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Paul Suttman | 2406503 | 1 | 06/11/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Luis Henrique Pires | 4242705 | 2 | 05/07/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph George Roccosalvo | 1062791 | 5 | 03/17/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Anees Mahmood Saifi | 5890894 | 2 | 03/12/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Clyde Gettings | 2384352 | 1 | 11/18/2014 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Steven Glynn Schramm | 4662680 | 2 | 02/18/2014 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |