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 |
|---|---|---|---|---|---|---|---|---|
| Noel Kezsbom | 268896 | 1 | 08/01/1977 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Howard David Brous | 31868 | 21 | 10/01/1974 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |