Our Staff has compiled our research into a database of FINRA Broker Disclosures for CWS Investments. 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 |
|---|---|---|---|---|---|---|---|---|
| Brian Joseph Prouty | 5629758 | 1 | 03/31/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sunnie Juarez Mills | 4603364 | 1 | 06/15/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Jay Sherwood | 1901510 | 1 | 07/14/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |