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 |
|---|---|---|---|---|---|---|---|---|
| Charles A Jordan | 4537219 | 1 | 12/08/2006 | Customer Dispute | Denied | $8,000.00 | $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 |
| Todd Randall Ware | 1874544 | 3 | 01/05/2006 | Customer Dispute | Denied | $61,250.00 | $0.00 | See FINRA Report |
| Todd Randall Ware | 1874544 | 3 | 12/09/2005 | Customer Dispute | Denied | $366,468.00 | $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 |
| Christopher D Fay | 2071791 | 3 | 08/04/2005 | Customer Dispute | Settled | $5,145,860.00 | $0.00 | See FINRA Report |
| William Lee Swearingen | 1800451 | 2 | 04/12/2005 | Customer Dispute | Denied | $25,427.00 | $0.00 | See FINRA Report |
| David Allen Liska | 2374477 | 4 | 12/23/2004 | Customer Dispute | Settled | $31,000.00 | $0.00 | See FINRA Report |
| David Allen Liska | 2374477 | 4 | 10/25/2004 | Customer Dispute | Closed-No Action | $22,990.70 | $0.00 | See FINRA Report |