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 |
|---|---|---|---|---|---|---|---|---|
| Howard David Brous | 31868 | 21 | 04/27/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Howard David Brous | 31868 | 21 | 04/13/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Howard David Brous | 31868 | 21 | 11/01/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Howard David Brous | 31868 | 21 | 07/29/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Howard David Brous | 31868 | 21 | 06/28/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Howard David Brous | 31868 | 21 | 12/21/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |