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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Brett Vaughn | 2505687 | 1 | 01/28/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alvaro Torres | 2994297 | 1 | 01/25/2010 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Robert Michael Dipuppo | 704057 | 2 | 12/17/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marc Evan Nufrio | 1902705 | 3 | 12/08/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Joseph Bango | 1375251 | 2 | 11/30/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Charles Hock | 708167 | 5 | 09/17/2009 | Customer Dispute | Settled | $167,997.00 | $0.00 | See FINRA Report |
| Denise Sue Windham | 862459 | 1 | 09/17/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joshua Ray Wakefield | 4185785 | 1 | 06/15/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Gary Paul Haindel | 2336360 | 1 | 05/26/2009 | Customer Dispute | Pending | $5,001.00 | $0.00 | See FINRA Report |
| Judson Alan Smith | 1529730 | 2 | 05/12/2009 | Customer Dispute | Settled | $183,060.00 | $0.00 | See FINRA Report |