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 | 08/25/2016 | Customer Dispute | Settled | $2,500,000.00 | $0.00 | See FINRA Report |
| Mark Porter Sperry | 1330909 | 1 | 05/25/2015 | Customer Dispute | Settled | $661,027.00 | $0.00 | See FINRA Report |
| Guy Maxwell Ule | 451403 | 2 | 03/09/2011 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Jason Todd Weissman | 2723437 | 6 | 07/18/2003 | Customer Dispute | Settled | $685,288.00 | $0.00 | See FINRA Report |
| Howard David Brous | 31868 | 21 | 06/11/2003 | Customer Dispute | Settled | $23,000,000.00 | $0.00 | See FINRA Report |
| Howard David Brous | 31868 | 21 | 08/24/2001 | Customer Dispute | Settled | $204,622.00 | $0.00 | See FINRA Report |
| Jason Todd Weissman | 2723437 | 6 | 04/15/2001 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| Howard David Brous | 31868 | 21 | 04/11/2000 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Howard David Brous | 31868 | 21 | 01/06/1994 | Customer Dispute | Settled | $454,411.00 | $0.00 | See FINRA Report |