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 |
|---|---|---|---|---|---|---|---|---|
| Richard Evan Baer | 848798 | 3 | 09/30/2019 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Brent Charles Bunger | 1488149 | 2 | 09/30/2019 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Ryan Robert Alvarez | 4266877 | 4 | 08/30/2019 | Customer Dispute | Denied | $157,000.00 | $0.00 | See FINRA Report |
| Karen Kay Williams | 5053736 | 2 | 03/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karen Kay Williams | 5053736 | 2 | 03/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Evan Baer | 848798 | 3 | 06/18/2018 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Benjamin Deane | 5199999 | 1 | 07/11/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jose Anselmo Feliciano | 2303100 | 4 | 05/09/2017 | Customer Dispute | Closed-No Action | $60,000.00 | $0.00 | See FINRA Report |
| Jerald Joseph Halverson | 2395133 | 1 | 07/14/2016 | Customer Dispute | Settled | $305,000.00 | $0.00 | See FINRA Report |
| Trevor Kamp Lattin | 4832781 | 2 | 06/20/2016 | Customer Dispute | Settled | $1,600,000.00 | $0.00 | See FINRA Report |