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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Robert Charles Miller | 1553731 | 1 | 06/16/2002 | Customer Dispute | Denied | $12,293.70 | $0.00 | See FINRA Report |
| Brent Alan Nelson | 3026585 | 7 | 06/03/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremiah Alex Johnson | 6892834 | 1 | 02/12/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Earl Stewart | 1424905 | 1 | 02/05/2002 | Customer Dispute | Settled | $63,686.80 | $0.00 | See FINRA Report |
| Judson Alan Smith | 1529730 | 2 | 01/14/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brent Alan Nelson | 3026585 | 7 | 12/12/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |