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 |
|---|---|---|---|---|---|---|---|---|
| John Hampton | 3253907 | 3 | 02/02/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joel Howard Kaplan | 2143766 | 3 | 01/10/2002 | Customer Dispute | Closed-No Action | $20,000.00 | $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 |