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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 10 out of 17 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
James Edward Fahey2191811504/14/2016FinancialFinal$0.00$0.00See FINRA Report
Kristina Metz Furnari4203268102/24/2016RegulatoryFinal$0.00$0.00See FINRA Report
John N Monaco1054556106/23/2008RegulatoryFinal$0.00$0.00See FINRA Report
Howard David Brous318682112/05/2005RegulatoryFinal$0.00$0.00See FINRA Report
Howard David Brous318682108/30/2005RegulatoryFinal$0.00$0.00See FINRA Report
Howard David Brous318682108/12/2005RegulatoryFinal$0.00$0.00See FINRA Report
Howard David Brous318682108/10/2005RegulatoryFinal$0.00$0.00See FINRA Report
Howard David Brous318682107/20/2005RegulatoryFinal$0.00$0.00See FINRA Report
Howard David Brous318682105/20/2005RegulatoryFinal$0.00$0.00See FINRA Report
Howard David Brous318682105/17/2005RegulatoryFinal$0.00$0.00See FINRA Report

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