Our Staff has compiled our research into a database of FINRA Broker Disclosures for Shearson Financial Services, 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 |
|---|---|---|---|---|---|---|---|---|
| James William Keegan | 4199196 | 2 | 04/28/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Keith Ellman | 1673088 | 4 | 06/09/2020 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Damian Aaron Bethke | 5224665 | 2 | 09/12/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Damian Aaron Bethke | 5224665 | 2 | 08/22/2018 | Customer Dispute | Closed-No Action | $140,000.00 | $0.00 | See FINRA Report |
| James Louis Orleans | 1335726 | 1 | 06/14/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Philip Jay Patlis | 1256755 | 2 | 05/17/2017 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Richard Lynn Hollan | 1401016 | 1 | 11/16/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Keith Ellman | 1673088 | 4 | 09/27/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Ira Scheinbaum | 1136016 | 1 | 09/06/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Philip Jay Patlis | 1256755 | 2 | 09/06/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |