Our Staff has compiled our research into a database of FINRA Broker Disclosures for Sequence Financial Specialists 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 |
|---|---|---|---|---|---|---|---|---|
| Jason William Plucinak | 4889443 | 1 | 12/02/2022 | Customer Dispute | Pending | $150,000.00 | $0.00 | See FINRA Report |
| Stanley James Wilhelm | 5915592 | 1 | 07/03/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gilles Conrad Cote | 2445906 | 1 | 06/23/2003 | Customer Dispute | Closed-No Action | $18,000.00 | $0.00 | See FINRA Report |
| Stacey Lynn Lavender | 4365033 | 1 | 01/13/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Eugene King | 1542794 | 3 | 02/01/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Eugene King | 1542794 | 3 | 10/31/1989 | Customer Dispute | Settled | $19,000.00 | $0.00 | See FINRA Report |
| William Eugene King | 1542794 | 3 | 11/10/1987 | Customer Dispute | Settled | $47,000.00 | $0.00 | See FINRA Report |