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 |
|---|---|---|---|---|---|---|---|---|
| Michael Bruce Kentor | 268144 | 2 | 08/24/2009 | Customer Dispute | Settled | $102,903.00 | $0.00 | See FINRA Report |
| Mark P Braaten | 1548103 | 1 | 12/04/2006 | Customer Dispute | Settled | $8,000.00 | $0.00 | See FINRA Report |
| 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 |
| David Allen Liska | 2374477 | 4 | 12/23/2004 | Customer Dispute | Settled | $31,000.00 | $0.00 | See FINRA Report |
| Christopher D Fay | 2071791 | 3 | 08/23/2004 | Customer Dispute | Settled | $5,145,860.00 | $0.00 | See FINRA Report |
| Matthew Charles Veatch | 2536890 | 1 | 08/10/2004 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Ross A Ferrin | 2437517 | 1 | 07/29/2002 | Customer Dispute | Settled | $644,361.00 | $0.00 | See FINRA Report |
| Richard Frederick Swider | 842878 | 1 | 05/31/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Henry John Kulig | 1270110 | 2 | 01/19/1993 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |