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.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Joseph Anthony Rocca | 866725 | 5 | 07/13/2006 | Customer Dispute | Settled | $395,000.00 | $0.00 | See FINRA Report |
| Randy Heber Carlson | 726574 | 5 | 11/23/2005 | Customer Dispute | Settled | $3,100,000.00 | $0.00 | See FINRA Report |
| Leonard Howard Rothstein | 868099 | 3 | 08/02/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Randy Heber Carlson | 726574 | 5 | 05/09/2001 | Customer Dispute | Settled | $99,389.10 | $0.00 | See FINRA Report |
| Leonard Howard Rothstein | 868099 | 3 | 04/12/1999 | Customer Dispute | Settled | $5,500.00 | $0.00 | See FINRA Report |
| Alan Louis Shankman | 1979085 | 2 | 07/31/1998 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Lyle Wesley Davis | 62352 | 6 | 05/29/1996 | Customer Dispute | Settled | $28,489,800.00 | $0.00 | See FINRA Report |
| Alan Louis Shankman | 1979085 | 2 | 04/30/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Sichenzia | 2818651 | 1 | 05/04/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael William Klekas | 1089024 | 1 | 03/12/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |