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 |
|---|---|---|---|---|---|---|---|---|
| Susan C Steffes | 5596948 | 1 | 11/01/2013 | Customer Dispute | Denied | $49,999.00 | $0.00 | See FINRA Report |
| Richard Peter Hveem | 2622370 | 6 | 08/08/2011 | Customer Dispute | Settled | $56,000.00 | $0.00 | See FINRA Report |
| Vijay Leventhal | 4994559 | 1 | 09/30/2010 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Cal Jason Smith | 3099069 | 1 | 09/10/2010 | Customer Dispute | Award / Judgment | $5,030.00 | $5,030.00 | See FINRA Report |
| Sean Michael Logue | 2905209 | 4 | 07/02/2010 | Customer Dispute | Settled | $157,916.00 | $0.00 | See FINRA Report |
| Cyrus Kasad | 4333893 | 1 | 03/24/2010 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Stephen George Kowalski | 1919574 | 1 | 06/25/2009 | Customer Dispute | Settled | $293,298.00 | $0.00 | See FINRA Report |
| Joshua James Edwards | 4426330 | 2 | 09/26/2008 | Customer Dispute | Settled | $21,982.00 | $0.00 | See FINRA Report |
| Richard Hennion | 1315386 | 5 | 04/16/2004 | Customer Dispute | Award / Judgment | $20,000.00 | $11,000.00 | See FINRA Report |
| Richard Hennion | 1315386 | 5 | 02/13/2004 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |