Our Staff has compiled our research into a database of FINRA Broker Disclosures for Wallachbeth Capital 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 |
|---|---|---|---|---|---|---|---|---|
| Marc Charles Raffensperger | 3268790 | 14 | 01/13/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marc Charles Raffensperger | 3268790 | 14 | 07/20/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marc Charles Raffensperger | 3268790 | 14 | 07/14/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Lipari | 1949901 | 1 | 08/13/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Douglas Edward Bantum | 2395456 | 8 | 07/30/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Douglas Edward Bantum | 2395456 | 8 | 07/21/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brett Justin Buckley | 2214141 | 4 | 04/13/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Douglas Edward Bantum | 2395456 | 8 | 03/04/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brett Justin Buckley | 2214141 | 4 | 10/15/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Douglas Edward Bantum | 2395456 | 8 | 04/15/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |