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FINRA Broker Disclosures for Wellington Shields & Co., LLC

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.

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Displaying 11-20 out of 20 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Jason Todd Weissman2723437607/18/2003Customer DisputeSettled$685,288.00$0.00See FINRA Report
Howard David Brous318682106/11/2003Customer DisputeSettled$23,000,000.00$0.00See FINRA Report
David Vincent Shields1072810112/13/2002Customer DisputeAward / Judgment$3,400,000.00$1,200,000.00See FINRA Report
Jason Todd Weissman2723437611/30/2001Customer DisputeAward / Judgment$0.00$0.00See FINRA Report
Jason Todd Weissman2723437611/27/2001Customer DisputeDenied$25,000.00$0.00See FINRA Report
Howard David Brous318682108/24/2001Customer DisputeSettled$204,622.00$0.00See FINRA Report
Jason Todd Weissman2723437604/15/2001Customer DisputeSettled$450,000.00$0.00See FINRA Report
Howard David Brous318682104/11/2000Customer DisputeSettled$200,000.00$0.00See FINRA Report
Howard David Brous318682101/06/1994Customer DisputeSettled$454,411.00$0.00See FINRA Report
Howard David Brous318682108/19/1991Customer DisputeAward / Judgment$140,932.00$86,300.30See FINRA Report

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