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 | 05/20/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Howard David Brous | 31868 | 21 | 05/17/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Howard David Brous | 31868 | 21 | 04/29/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| 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 |
| 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 |
| David Vincent Shields | 1072810 | 1 | 12/13/2002 | Customer Dispute | Award / Judgment | $3,400,000.00 | $1,200,000.00 | See FINRA Report |