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 | 08/06/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marc Lubkeman | 1294174 | 1 | 07/12/2006 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Dennis Alan Schmidt | 845872 | 4 | 08/16/2004 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Timothy Olsen | 3126820 | 1 | 03/25/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Thomas van Coke | 2112037 | 1 | 03/10/2003 | Customer Dispute | Denied | $14,200.30 | $0.00 | See FINRA Report |
| David William Simons | 2505461 | 1 | 01/30/2003 | Customer Dispute | Award / Judgment | $3,000,000.00 | $124,260.00 | See FINRA Report |
| William Keith Phillips | 1447676 | 4 | 01/25/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Leroy Payne Creech | 1997020 | 2 | 02/05/2002 | Customer Dispute | Denied | $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 |
| William Keith Phillips | 1447676 | 4 | 12/01/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |