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 |
|---|---|---|---|---|---|---|---|---|
| Wendell Elmore Jones | 2514986 | 1 | 03/22/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Stuart Miller Porterfield | 2350505 | 1 | 05/03/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cynthia Harman Marsteller | 1488230 | 2 | 02/11/2000 | Customer Dispute | Denied | $28,200.00 | $0.00 | See FINRA Report |
| Robert Shane Adrian | 2603585 | 1 | 05/20/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| John Clair Maggart | 834039 | 1 | 02/02/1999 | Customer Dispute | Closed-No Action | $91,716.00 | $0.00 | See FINRA Report |
| Joel Lee Glasco | 1158893 | 1 | 07/25/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dennis Alan Schmidt | 845872 | 4 | 03/07/1997 | Customer Dispute | Settled | $146,500.00 | $0.00 | See FINRA Report |
| John Orlando Williams | 2005276 | 1 | 01/08/1997 | Customer Dispute | Settled | $210,000.00 | $0.00 | See FINRA Report |
| Milton Schwartz | 1749520 | 1 | 11/01/1996 | Customer Dispute | Settled | $27,876.20 | $0.00 | See FINRA Report |
| Thomas Joseph Sheehan | 1221416 | 2 | 10/09/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |