Our Staff has compiled our research into a database of FINRA Broker Disclosures for Lion Street Financial, 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 |
|---|---|---|---|---|---|---|---|---|
| Ryan Robert Alvarez | 4266877 | 4 | 03/10/2008 | Customer Dispute | Denied | $11,700.00 | $0.00 | See FINRA Report |
| Jeremy Tate Corley | 3074244 | 2 | 02/06/2008 | Customer Dispute | Denied | $16,932.40 | $0.00 | See FINRA Report |
| Mark P Braaten | 1548103 | 1 | 12/04/2006 | Customer Dispute | Settled | $8,000.00 | $0.00 | See FINRA Report |
| John Louis Csenge | 703680 | 2 | 08/07/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Susan Mary Anthony | 1880725 | 2 | 04/17/2006 | Customer Dispute | Denied | $36,500.00 | $0.00 | See FINRA Report |
| Christopher D Fay | 2071791 | 3 | 10/19/2005 | Customer Dispute | Settled | $5,145,860.00 | $0.00 | See FINRA Report |
| Larry Jefferson Tolbert | 1054714 | 3 | 09/07/2005 | Customer Dispute | Closed-No Action | $22,593.70 | $0.00 | See FINRA Report |
| Christopher D Fay | 2071791 | 3 | 08/04/2005 | Customer Dispute | Settled | $5,145,860.00 | $0.00 | See FINRA Report |
| Judith Ann McGee | 861504 | 3 | 10/12/2004 | Customer Dispute | Award / Judgment | $576,745.00 | $54,000.00 | See FINRA Report |
| Christopher D Fay | 2071791 | 3 | 08/23/2004 | Customer Dispute | Settled | $5,145,860.00 | $0.00 | See FINRA Report |