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 |
|---|---|---|---|---|---|---|---|---|
| James Stanley MacKenzie | 2981415 | 1 | 03/05/2018 | Customer Dispute | Withdrawn | $160,000.00 | $0.00 | See FINRA Report |
| Justin Taejun Yoon | 3258911 | 2 | 11/27/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian J Pendleton | 5820800 | 1 | 06/22/2017 | Customer Dispute | Denied | $5,300.00 | $0.00 | See FINRA Report |
| Sean Michael Logue | 2905209 | 4 | 02/28/2017 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Steven Thomas Hynson | 6174228 | 1 | 12/15/2016 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| 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 |
| Mark Anthony Czaja | 1045839 | 3 | 09/01/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Peter Ciraulo | 1443540 | 4 | 09/01/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lauren Ann Meade | 4809699 | 1 | 06/29/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |