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 |
|---|---|---|---|---|---|---|---|---|
| Lisa D Littles | 2544109 | 1 | 10/06/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dennis Alan Schmidt | 845872 | 4 | 11/05/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joel Howard Kaplan | 2143766 | 3 | 04/15/2009 | Customer Dispute | Denied | $85,600.00 | $0.00 | See FINRA Report |
| Ryan Wayne Barber | 4844694 | 1 | 03/10/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Bruce Faulkner Bickley | 1019803 | 2 | 01/21/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Leroy Payne Creech | 1997020 | 2 | 01/07/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Wayne Douglas Rogers | 4911243 | 4 | 11/03/2008 | Customer Dispute | Settled | $382,415.00 | $0.00 | See FINRA Report |
| John Hampton | 3253907 | 3 | 08/26/2008 | 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 |
| John Hampton | 3253907 | 3 | 02/02/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |