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 |
|---|---|---|---|---|---|---|---|---|
| Lauren Christine Frahn | 4565805 | 1 | 04/08/2022 | Customer Dispute | Denied | $29,000.00 | $0.00 | See FINRA Report |
| Frank Brady Jr | 5692946 | 1 | 09/19/2018 | Customer Dispute | Denied | $5,925.00 | $0.00 | See FINRA Report |
| Brian J Pendleton | 5820800 | 1 | 06/22/2017 | Customer Dispute | Denied | $5,300.00 | $0.00 | See FINRA Report |
| Steven Thomas Hynson | 6174228 | 1 | 12/15/2016 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Joshua James Edwards | 4426330 | 2 | 10/18/2016 | Customer Dispute | Denied | $99,286.60 | $0.00 | See FINRA Report |
| Susan C Steffes | 5596948 | 1 | 11/01/2013 | Customer Dispute | Denied | $49,999.00 | $0.00 | See FINRA Report |