Our Staff has compiled our research into a database of FINRA Broker Disclosures for Finalis Securities LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Eric Shawn White | 6191139 | 1 | 05/10/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Todd Martin Squier | 7441360 | 1 | 04/12/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dennis Michael Azary | 2384263 | 1 | 02/02/2024 | Customer Dispute | Pending | $2,000,000.00 | $0.00 | See FINRA Report |
| Shelly Wolfsdorf | 2644785 | 2 | 07/03/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Martin Beach | 2764171 | 14 | 06/16/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Shelly Wolfsdorf | 2644785 | 2 | 05/15/2023 | Customer Dispute | Withdrawn | $850,000.00 | $0.00 | See FINRA Report |
| Thomas Christopher Delay | 4856512 | 1 | 04/18/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Matthew Cain | 7450325 | 2 | 11/20/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gordon David Adelsberg | 7037265 | 3 | 09/30/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas James Blasen | 1684707 | 2 | 08/15/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |