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 |
|---|---|---|---|---|---|---|---|---|
| Billy Joe Estes | 4814625 | 1 | 03/12/2020 | Customer Dispute | Denied | $0.00 | $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 |
| Wayne Douglas Rogers | 4911243 | 4 | 08/03/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Raymond Dick | 67257 | 1 | 07/28/2016 | Customer Dispute | Denied | $43,721.80 | $0.00 | See FINRA Report |
| Laura Johnston | 4708770 | 1 | 11/14/2014 | Customer Dispute | Denied | $74,000.00 | $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 |