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 |
|---|---|---|---|---|---|---|---|---|
| Robert Michael Dipuppo | 704057 | 2 | 05/27/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kent Andrew Behnken | 1407986 | 1 | 05/24/2008 | Customer Dispute | Denied | $27,179.00 | $0.00 | See FINRA Report |
| Shane Jason Neal | 3006518 | 1 | 03/26/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Mayo M Woodward | 2760970 | 1 | 11/13/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stuart Daniel Bridges | 2241375 | 1 | 08/01/2007 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Mark David Williams | 1295712 | 1 | 06/19/2007 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Brent Alan Nelson | 3026585 | 7 | 05/17/2007 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Lawrence William Waller | 3232644 | 7 | 04/11/2007 | Customer Dispute | Closed-No Action | $5,238.28 | $0.00 | See FINRA Report |
| Bradley Allan Brown | 3097139 | 1 | 04/02/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lawrence William Waller | 3232644 | 7 | 02/27/2007 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |