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 |
|---|---|---|---|---|---|---|---|---|
| Lacy McClure Walthall | 713269 | 2 | 05/12/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Giacomo Salvatore Palazzolo | 2743807 | 1 | 12/30/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Schumacher | 1069140 | 1 | 08/06/2003 | Customer Dispute | Settled | $436,602.00 | $0.00 | See FINRA Report |
| Dirk E Wetherhold | 868677 | 1 | 08/01/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Farid Mokhtarian | 2788067 | 3 | 06/26/2003 | Customer Dispute | Denied | $65,500.00 | $0.00 | See FINRA Report |
| David Lynn Cole | 1638032 | 2 | 05/02/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Timothy John Helfer | 1688478 | 1 | 03/11/2003 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Kevin William Kelley | 1141298 | 1 | 02/21/2003 | Customer Dispute | Settled | $14,988.00 | $0.00 | See FINRA Report |
| Edgar Alfred Morales | 1078765 | 2 | 12/20/2002 | Customer Dispute | Settled | $20,764.70 | $0.00 | See FINRA Report |
| Michael Lee Fitzgerald | 1509323 | 2 | 12/02/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |