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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 31-40 out of 42 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Jason Todd Weissman2723437611/30/2001Customer DisputeAward / Judgment$0.00$0.00See FINRA Report
Jason Todd Weissman2723437611/27/2001Customer DisputeDenied$25,000.00$0.00See FINRA Report
Howard David Brous318682108/24/2001Customer DisputeSettled$204,622.00$0.00See FINRA Report
Howard David Brous318682106/28/2001RegulatoryFinal$0.00$0.00See FINRA Report
Jason Todd Weissman2723437604/15/2001Customer DisputeSettled$450,000.00$0.00See FINRA Report
Howard David Brous318682104/11/2000Customer DisputeSettled$200,000.00$0.00See FINRA Report
Howard David Brous318682101/06/1994Customer DisputeSettled$454,411.00$0.00See FINRA Report
Howard David Brous318682112/21/1992RegulatoryFinal$0.00$0.00See FINRA Report
Jason Todd Weissman2723437612/17/1992CriminalFinal Disposition$0.00$0.00See FINRA Report
Howard David Brous318682108/19/1991Customer DisputeAward / Judgment$140,932.00$86,300.30See FINRA Report

42 Results

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