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 |
|---|---|---|---|---|---|---|---|---|
| Douglas Edward Bantum | 2395456 | 8 | 04/15/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Douglas Edward Bantum | 2395456 | 8 | 03/11/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Douglas Edward Bantum | 2395456 | 8 | 02/20/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brett Justin Buckley | 2214141 | 4 | 09/18/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brett Justin Buckley | 2214141 | 4 | 10/14/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Zicheng Hearst Zhang | 5045996 | 1 | 12/21/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Edward Bantum | 2395456 | 8 | 11/08/2001 | Customer Dispute | Settled | $16,000.00 | $0.00 | See FINRA Report |
| Marc Charles Raffensperger | 3268790 | 14 | 10/07/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gene Franklyn McNeil | 2188003 | 1 | 02/09/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |