Our Staff has compiled our research into a database of FINRA Broker Disclosures for Hennion & Walsh, 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 |
|---|---|---|---|---|---|---|---|---|
| Brian J Pendleton | 5820800 | 1 | 06/22/2017 | Customer Dispute | Denied | $5,300.00 | $0.00 | See FINRA Report |
| Sean Michael Logue | 2905209 | 4 | 02/28/2017 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Sean Michael Logue | 2905209 | 4 | 11/23/2016 | Customer Dispute | Settled | $196,326.00 | $0.00 | See FINRA Report |
| Joshua James Edwards | 4426330 | 2 | 10/18/2016 | Customer Dispute | Denied | $99,286.60 | $0.00 | See FINRA Report |
| Marc S Strafaci | 5562238 | 3 | 05/17/2016 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Sean J McElduff | 5565355 | 1 | 01/05/2016 | Customer Dispute | Settled | $21,000.00 | $0.00 | See FINRA Report |
| Richard Peter Hveem | 2622370 | 6 | 10/12/2015 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| William Hennion | 2048378 | 3 | 08/20/2015 | Customer Dispute | Award / Judgment | $300,000.00 | $155,935.00 | See FINRA Report |
| Justin Taejun Yoon | 3258911 | 2 | 08/18/2015 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Marc S Strafaci | 5562238 | 3 | 06/06/2014 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |