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 | 12/02/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeff J Poe | 4682598 | 3 | 12/08/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Randy Heber Carlson | 726574 | 5 | 12/27/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark James Dillon | 1113305 | 3 | 06/19/2009 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Dudley Muth | 1013651 | 2 | 03/03/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| 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 |
| Jeff J Poe | 4682598 | 3 | 03/21/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |