Our Staff has compiled our research into a database of FINRA Broker Disclosures for Stirlingshire Investments. 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 |
|---|---|---|---|---|---|---|---|---|
| David Amauri Serrano | 4056210 | 3 | 10/26/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Drahos | 5834650 | 2 | 11/05/2021 | Customer Dispute | Settled | $25,918.00 | $0.00 | See FINRA Report |
| James Bates Pugh | 6949266 | 2 | 09/22/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Bates Pugh | 6949266 | 2 | 07/14/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Allan Katz | 2166004 | 3 | 03/22/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven MacKie Woods | 5715598 | 3 | 12/11/2020 | Customer Dispute | Settled | $278,274.00 | $0.00 | See FINRA Report |
| Steven MacKie Woods | 5715598 | 3 | 12/11/2020 | Customer Dispute | Settled | $157,588.00 | $0.00 | See FINRA Report |
| Steven MacKie Woods | 5715598 | 3 | 12/11/2020 | Customer Dispute | Settled | $200,123.00 | $0.00 | See FINRA Report |
| Allan Katz | 2166004 | 3 | 05/28/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Symeon Adorjan White | 7770113 | 1 | 03/31/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |