Our Staff has compiled our research into a database of FINRA Broker Disclosures for THE Leaders Group, 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 |
|---|---|---|---|---|---|---|---|---|
| Frederick Wallace Prelle | 367289 | 1 | 04/23/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew Evan Schiff | 2081669 | 1 | 06/21/2011 | Customer Dispute | Settled | $238,519.00 | $0.00 | See FINRA Report |
| David Whittemore | 2984813 | 2 | 06/07/2011 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Douglas Alan Mishkin | 2102397 | 1 | 04/26/2011 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Alvin Lawrence McGill | 1269862 | 4 | 09/17/2010 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Terry Curtis Robertson | 1523139 | 3 | 05/03/2010 | Customer Dispute | Settled | $22,000.00 | $0.00 | See FINRA Report |
| William Cole Fortner | 2836588 | 1 | 06/10/2009 | Customer Dispute | Settled | $214,488.00 | $0.00 | See FINRA Report |
| Michael David Westerfield | 4900861 | 2 | 03/08/2009 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Thomas Michael Oliveira | 2753899 | 2 | 02/03/2009 | Customer Dispute | Settled | $7,200.00 | $0.00 | See FINRA Report |
| Terry Curtis Robertson | 1523139 | 3 | 12/05/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |