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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Christopher Fadden | 7780644 | 1 | 10/17/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Donald Lloyd Braaten | 7199595 | 1 | 08/06/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gregory Alton Abell | 5921575 | 1 | 07/07/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Oliver Buxton | 4697339 | 1 | 10/21/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Thomas Workman | 4564285 | 1 | 06/17/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gary Mark Gurko | 5949511 | 1 | 07/01/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shawn Thomas Higginbotham | 2760619 | 2 | 02/21/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Morgan Herrig | 2432082 | 1 | 04/29/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Barry Kingsley Barbernell | 4097730 | 3 | 10/16/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Wayne Speed Hill | 4556638 | 1 | 08/29/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |