Our Staff has compiled our research into a database of FINRA Broker Disclosures for Lebenthal Financial Services, 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 |
|---|---|---|---|---|---|---|---|---|
| Mark Edward Rienerth | 1023063 | 3 | 07/28/1988 | Customer Dispute | Settled | $47,000.00 | $0.00 | See FINRA Report |
| James Eric Wagoner | 833940 | 2 | 09/22/1981 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Eric Wagoner | 833940 | 2 | 09/09/1980 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |