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 | 08/30/2019 | Customer Dispute | Denied | $157,000.00 | $0.00 | See FINRA Report |
| Shawn Thomas Higginbotham | 2760619 | 2 | 05/24/2016 | Customer Dispute | Denied | $700,000.00 | $0.00 | See FINRA Report |
| Scott Patrick Kelley | 2143826 | 1 | 01/05/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jon E. Schlueter | 2814732 | 1 | 09/30/2015 | Customer Dispute | Denied | $9,942.77 | $0.00 | See FINRA Report |
| Jeffrey Lee Curtis | 1917009 | 1 | 08/11/2015 | Customer Dispute | Denied | $8,320.20 | $0.00 | See FINRA Report |
| Paul Bruce Bufty | 2359420 | 3 | 09/20/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stacy Jean Hayes | 4442704 | 1 | 04/19/2012 | Customer Dispute | Denied | $6,650.00 | $0.00 | See FINRA Report |
| Ryan Robert Alvarez | 4266877 | 4 | 02/10/2011 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Coby van Harper | 1073666 | 1 | 04/16/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Barry Kingsley Barbernell | 4097730 | 5 | 10/14/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |