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 |
|---|---|---|---|---|---|---|---|---|
| Patrick Hoell Smith | 1821303 | 1 | 12/11/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Edgar Roach | 1051723 | 1 | 11/09/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Audie Gean Rea | 1080152 | 3 | 10/30/2001 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Byron Keith Ford | 2740604 | 4 | 04/10/2001 | Customer Dispute | Settled | $7,600.00 | $0.00 | See FINRA Report |
| Brent Alan Nelson | 3026585 | 7 | 02/07/2001 | Customer Dispute | Pending | $30,000.00 | $0.00 | See FINRA Report |
| Thomas Joseph Mooney | 2225002 | 1 | 01/18/2001 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Kevin Bernard McGann | 1937310 | 1 | 12/22/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Otto McKay | 1709112 | 2 | 09/29/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marc Evan Nufrio | 1902705 | 3 | 05/03/2000 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher Louis Licata | 1792265 | 1 | 03/29/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |