Our Staff has compiled our research into a database of FINRA Broker Disclosures for Wiley Bros.-Aintree Capital, 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 |
|---|---|---|---|---|---|---|---|---|
| William Keith Phillips | 1447676 | 4 | 06/02/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Keith Phillips | 1447676 | 4 | 07/20/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce Faulkner Bickley | 1019803 | 2 | 01/21/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bruce Faulkner Bickley | 1019803 | 2 | 04/24/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| William Keith Phillips | 1447676 | 4 | 01/25/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Keith Phillips | 1447676 | 4 | 12/01/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Clair Maggart | 834039 | 1 | 02/02/1999 | Customer Dispute | Closed-No Action | $91,716.00 | $0.00 | See FINRA Report |
| John Orlando Williams | 2005276 | 1 | 01/08/1997 | Customer Dispute | Settled | $210,000.00 | $0.00 | See FINRA Report |
| Thomas Joseph Sheehan | 1221416 | 2 | 10/09/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Sheehan | 1221416 | 2 | 11/01/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |