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 |
|---|---|---|---|---|---|---|---|---|
| Guy Maxwell Ule | 451403 | 2 | 04/21/2012 | Customer Dispute | Award / Judgment | $350,000.00 | $130,000.00 | See FINRA Report |
| Guy Maxwell Ule | 451403 | 2 | 03/09/2011 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| James Edward Fahey | 2191811 | 5 | 07/27/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John N Monaco | 1054556 | 1 | 06/23/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Howard David Brous | 31868 | 21 | 12/05/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Howard David Brous | 31868 | 21 | 08/30/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Howard David Brous | 31868 | 21 | 08/12/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Howard David Brous | 31868 | 21 | 08/10/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Howard David Brous | 31868 | 21 | 07/20/2005 | Regulatory | Final | $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 |