Our Staff has compiled our research into a database of FINRA Broker Disclosures for SA Stone Wealth Management Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Charles Hock | 708167 | 5 | 01/02/2004 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Kenneth James Popovec | 1751606 | 2 | 09/23/2003 | Customer Dispute | Denied | $104,961.00 | $0.00 | See FINRA Report |
| Kenneth James Popovec | 1751606 | 2 | 09/03/2003 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Thomas Shannon Lott | 1188660 | 1 | 10/31/2002 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Debra Sue Howard | 1832607 | 3 | 09/27/2002 | Customer Dispute | Denied | $21,000.00 | $0.00 | See FINRA Report |
| Debra Sue Howard | 1832607 | 3 | 09/16/2002 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Mark Edward Flaherty | 1173405 | 3 | 09/10/2002 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Kevin C Brooks | 3121092 | 1 | 08/09/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Jeffery Quirk | 870157 | 1 | 06/25/2002 | Customer Dispute | Denied | $24,000.00 | $0.00 | See FINRA Report |
| Byron Keith Ford | 2740604 | 4 | 06/24/2002 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |