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 |
|---|---|---|---|---|---|---|---|---|
| Douglas Keith Ellman | 1673088 | 4 | 06/09/2020 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |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 |
| Philip Jay Patlis | 1256755 | 2 | 05/17/2017 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Douglas Keith Ellman | 1673088 | 4 | 05/29/2015 | Customer Dispute | Settled | $328,000.00 | $0.00 | See FINRA Report |
| Douglas Keith Ellman | 1673088 | 4 | 04/15/2013 | Customer Dispute | Closed-No Action | $5,232.19 | $0.00 | See FINRA Report |
| Ross Jay McKendrick | 2869927 | 1 | 03/09/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Stephen Emanuel Barr | 2302553 | 1 | 05/12/2003 | Customer Dispute | Settled | $275,000.00 | $0.00 | See FINRA Report |
| Miguel Eduardo Gonzalez | 1738173 | 2 | 01/09/1997 | Customer Dispute | Settled | $258,926.00 | $0.00 | See FINRA Report |
| Miguel Eduardo Gonzalez | 1738173 | 2 | 10/30/1992 | Customer Dispute | Settled | $87,387.00 | $0.00 | See FINRA Report |