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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Wendy Ann Wurst | 1902879 | 1 | 02/12/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marc S Strafaci | 5562238 | 3 | 06/06/2014 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| 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 |