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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Danielle Lynn Peters | 7565849 | 2 | 06/02/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Johnston | 4708770 | 1 | 11/14/2014 | Customer Dispute | Denied | $74,000.00 | $0.00 | See FINRA Report |
| 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 |
| Cynthia Harman Marsteller | 1488230 | 2 | 08/27/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lucas Weis | 6695412 | 1 | 09/23/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Keith Phillips | 1447676 | 4 | 06/02/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Keith Phillips | 1447676 | 4 | 07/20/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |