Our Staff has compiled our research into a database of FINRA Broker Disclosures for Benjamin F. Edwards & Company, Inc.. Search or filter the database to find more about a specific broker.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Greg Alan Thornton | 4786898 | 4 | 05/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Greg Alan Thornton | 4786898 | 4 | 05/20/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sherry Lynn Baker | 1249220 | 1 | 11/07/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Rebecca Lynne Timmerman | 1056172 | 1 | 11/07/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard J. Niekrash Jr. | 4812078 | 2 | 09/28/2018 | Customer Dispute | Settled | $377,868.00 | $0.00 | See FINRA Report |
| Delfina Guerra Buenrostro | 4979559 | 1 | 09/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Kevin Swart | 2376424 | 4 | 06/14/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ashlee Nicole Godfrey | 5889108 | 6 | 05/02/2018 | Customer Dispute | Denied | $10,928.00 | $0.00 | See FINRA Report |
| Steven Warren Cooke | 1994834 | 2 | 04/16/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Anthony Kevin Swart | 2376424 | 4 | 03/13/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |