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 |
|---|---|---|---|---|---|---|---|---|
| William Walter Walsh | 1174993 | 2 | 02/19/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Hennion | 1315386 | 5 | 02/19/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Hennion | 1315386 | 5 | 02/13/2004 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Richard Peter Hveem | 2622370 | 6 | 12/08/2003 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Richard Peter Hveem | 2622370 | 6 | 06/06/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Peter Hveem | 2622370 | 6 | 12/20/2002 | Customer Dispute | Closed-No Action | $42,813.00 | $0.00 | See FINRA Report |
| Kevin Kowalczyk | 2262204 | 2 | 10/08/2002 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| David Darcangelo | 1058752 | 1 | 02/17/2002 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Jay Justin Goldberg | 1926399 | 1 | 04/06/2001 | Customer Dispute | Pending | $23,000.00 | $0.00 | See FINRA Report |
| Larry Allen Kohn | 1330066 | 1 | 12/29/2000 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |