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 |
|---|---|---|---|---|---|---|---|---|
| Gregory Alton Abell | 5921575 | 1 | 07/07/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeremy Tate Corley | 3074244 | 2 | 06/09/2003 | Customer Dispute | Closed-No Action | $57,621.00 | $0.00 | See FINRA Report |
| John Feliciano | 2319411 | 1 | 04/07/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jose Anselmo Feliciano | 2303100 | 4 | 03/25/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Sean Yoder | 2009282 | 2 | 12/03/2002 | Customer Dispute | Denied | $17,820.90 | $0.00 | See FINRA Report |
| Ross A Ferrin | 2437517 | 1 | 07/29/2002 | Customer Dispute | Settled | $644,361.00 | $0.00 | See FINRA Report |
| Jeffrey Sean Yoder | 2009282 | 2 | 01/21/2002 | Customer Dispute | Denied | $15,507.50 | $0.00 | See FINRA Report |
| Richard Frederick Swider | 842878 | 1 | 05/31/2001 | Customer Dispute | Settled | $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 |
| Jeffrey Kistler Jones | 2459593 | 1 | 05/12/2000 | Customer Dispute | Closed-No Action | $9,373.00 | $0.00 | See FINRA Report |