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.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Oscar David Rubiano | 6266119 | 1 | 02/19/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Scott Gary Wolter | 2101241 | 4 | 10/17/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffery Ames Riley | 3157176 | 1 | 07/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Michael Peavy | 4348578 | 2 | 06/14/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Walter Elting Storm | 717101 | 1 | 04/30/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ian Blane Meierdiercks | 3205009 | 1 | 02/01/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Charles Heberger | 845644 | 1 | 01/18/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Fredric Jeffrey Lowe | 709553 | 2 | 03/09/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Audie Gean Rea | 1080152 | 3 | 11/28/2016 | Customer Dispute | Award / Judgment | $307,062.00 | $90,000.00 | See FINRA Report |
| Joseph Christopher Alexander | 3168217 | 2 | 09/19/2016 | Customer Dispute | Final | $5,001.00 | $0.00 | See FINRA Report |