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 |
|---|---|---|---|---|---|---|---|---|
| Dennis Michael Azary | 2384263 | 1 | 02/02/2024 | Customer Dispute | Pending | $2,000,000.00 | $0.00 | See FINRA Report |
| Shelly Wolfsdorf | 2644785 | 2 | 05/15/2023 | Customer Dispute | Withdrawn | $850,000.00 | $0.00 | See FINRA Report |
| David Martin Beach | 2764171 | 14 | 12/07/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Martin Beach | 2764171 | 14 | 06/06/2005 | Customer Dispute | Pending | $42,000.00 | $0.00 | See FINRA Report |
| Craig Paul Primo | 4290668 | 1 | 08/16/2004 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Scott J Silver | 1230741 | 3 | 07/17/2000 | Customer Dispute | Dismissed | $196,000.00 | $0.00 | See FINRA Report |
| Scott J Silver | 1230741 | 3 | 09/15/1999 | Customer Dispute | Settled | $5,500,000.00 | $0.00 | See FINRA Report |
| Scott J Silver | 1230741 | 3 | 09/08/1998 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |