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 |
|---|---|---|---|---|---|---|---|---|
| Guy Maxwell Ule | 451403 | 2 | 04/21/2012 | Customer Dispute | Award / Judgment | $350,000.00 | $130,000.00 | See FINRA Report |
| David Vincent Shields | 1072810 | 1 | 12/13/2002 | Customer Dispute | Award / Judgment | $3,400,000.00 | $1,200,000.00 | See FINRA Report |
| Jason Todd Weissman | 2723437 | 6 | 11/30/2001 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See FINRA Report |
| Howard David Brous | 31868 | 21 | 08/19/1991 | Customer Dispute | Award / Judgment | $140,932.00 | $86,300.30 | See FINRA Report |