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 |
|---|---|---|---|---|---|---|---|---|
| Thomas James Shelder | 5939391 | 1 | 10/12/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Max Kaplan | 7449051 | 1 | 06/11/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Billy Joe Estes | 4814625 | 1 | 03/12/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Amanda Resha Hales | 5210494 | 1 | 08/21/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Marla Bramall Sherrod | 4824599 | 1 | 03/14/2018 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Wayne Douglas Rogers | 4911243 | 4 | 01/22/2018 | Customer Dispute | Settled | $18,300.00 | $0.00 | See FINRA Report |
| John Hite Gallman | 4902601 | 1 | 10/23/2017 | Customer Dispute | Withdrawn | $21,359.30 | $0.00 | See FINRA Report |
| Wayne Douglas Rogers | 4911243 | 4 | 07/13/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alben Zane Portnoy | 824774 | 1 | 11/02/2016 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Joel Howard Kaplan | 2143766 | 3 | 11/02/2016 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |