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 |
|---|---|---|---|---|---|---|---|---|
| Roberta Kay Stafford | 865356 | 1 | 03/16/2020 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| James Edward Fahey | 2191811 | 5 | 07/26/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Edward Fahey | 2191811 | 5 | 07/27/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jason Todd Weissman | 2723437 | 6 | 05/24/2005 | Customer Dispute | Denied | $811,816.00 | $0.00 | See FINRA Report |
| Jason Todd Weissman | 2723437 | 6 | 11/27/2001 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |