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FINRA Broker Disclosures for Wilson-Davis & Co., Inc.

Our Staff has compiled our research into a database of FINRA Broker Disclosures for Wilson-Davis & Co., Inc.. Search or filter the database to find more about a specific broker.

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Displaying 8 out of 8 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Leonard Howard Rothstein868099310/14/2020Customer DisputeWithdrawn$400,000.00$0.00See FINRA Report
Mark James Dillon1113305306/19/2009Customer DisputeSettled$150,000.00$0.00See FINRA Report
Joseph Anthony Rocca866725507/13/2006Customer DisputeSettled$395,000.00$0.00See FINRA Report
Randy Heber Carlson726574511/23/2005Customer DisputeSettled$3,100,000.00$0.00See FINRA Report
Randy Heber Carlson726574505/09/2001Customer DisputeSettled$99,389.10$0.00See FINRA Report
Leonard Howard Rothstein868099304/12/1999Customer DisputeSettled$5,500.00$0.00See FINRA Report
Alan Louis Shankman1979085207/31/1998Customer DisputeSettled$100,000.00$0.00See FINRA Report
Lyle Wesley Davis62352605/29/1996Customer DisputeSettled$28,489,800.00$0.00See FINRA Report

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