Our Staff has compiled our research into a database of FINRA Broker Disclosures for Wellington Shields & Co., 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 |
|---|---|---|---|---|---|---|---|---|
| Theodore Allan Nelson | 2518913 | 1 | 01/23/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Roberta Kay Stafford | 865356 | 1 | 03/16/2020 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| James Edward Fahey | 2191811 | 5 | 06/28/2019 | Customer Dispute | Withdrawn | $45,000.00 | $0.00 | See FINRA Report |
| Howard David Brous | 31868 | 21 | 08/25/2016 | Customer Dispute | Settled | $2,500,000.00 | $0.00 | See FINRA Report |
| James Edward Fahey | 2191811 | 5 | 04/14/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristina Metz Furnari | 4203268 | 1 | 02/24/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Porter Sperry | 1330909 | 1 | 05/25/2015 | Customer Dispute | Settled | $661,027.00 | $0.00 | See FINRA Report |
| Charles Richard Thompson | 445603 | 1 | 06/16/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Edward Fahey | 2191811 | 5 | 11/14/2012 | Customer Dispute | Closed-No Action | $1.00 | $0.00 | See FINRA Report |
| James Edward Fahey | 2191811 | 5 | 07/26/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |