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 |
|---|---|---|---|---|---|---|---|---|
| Chad Alan Hollan | 5725805 | 1 | 09/06/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric K Blau | 842045 | 1 | 09/06/2016 | Regulatory | Final | $0.00 | $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 |
| Jed Philip Kaplan | 1622929 | 3 | 02/09/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jed Philip Kaplan | 1622929 | 3 | 12/18/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jed Philip Kaplan | 1622929 | 3 | 06/30/2004 | Regulatory | Final | $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 |