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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Lisa D Littles | 2544109 | 1 | 10/06/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bruce Faulkner Bickley | 1019803 | 2 | 01/21/2009 | Customer Dispute | Settled | $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 |
| John Hampton | 3253907 | 3 | 08/06/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dennis Alan Schmidt | 845872 | 4 | 08/16/2004 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| William Keith Phillips | 1447676 | 4 | 01/25/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Keith Phillips | 1447676 | 4 | 12/01/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |