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 |
|---|---|---|---|---|---|---|---|---|
| Christopher D Fay | 2071791 | 3 | 10/19/2005 | Customer Dispute | Settled | $5,145,860.00 | $0.00 | See FINRA Report |
| Donald Lloyd Braaten | 7199595 | 1 | 08/06/2005 | Criminal | Final Disposition | $0.00 | $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 |
| William Lee Swearingen | 1800451 | 2 | 04/12/2005 | Customer Dispute | Denied | $25,427.00 | $0.00 | See FINRA Report |
| David Allen Liska | 2374477 | 4 | 12/23/2004 | Customer Dispute | Settled | $31,000.00 | $0.00 | See FINRA Report |
| Jose Anselmo Feliciano | 2303100 | 4 | 12/14/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Allen Liska | 2374477 | 4 | 10/25/2004 | Customer Dispute | Closed-No Action | $22,990.70 | $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 |
| Joseph F Presutti | 367520 | 1 | 01/02/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |