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 |
|---|---|---|---|---|---|---|---|---|
| Kalliopi Annenos | 3001066 | 1 | 09/05/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Paul Bruce Bufty | 2359420 | 3 | 04/04/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ryan Robert Alvarez | 4266877 | 4 | 03/10/2008 | Customer Dispute | Denied | $11,700.00 | $0.00 | See FINRA Report |
| Jeremy Tate Corley | 3074244 | 2 | 02/06/2008 | Customer Dispute | Denied | $16,932.40 | $0.00 | See FINRA Report |
| William Lee Swearingen | 1800451 | 2 | 11/07/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| 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 |