Our Staff has compiled our research into a database of FINRA Broker Disclosures for Leigh Baldwin & Co., 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 |
|---|---|---|---|---|---|---|---|---|
| David Nathan Tenenbaum | 3052554 | 1 | 06/30/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Joseph Hughes | 1172780 | 1 | 01/27/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Darrell Moore | 721087 | 3 | 09/03/2015 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Stephen Darrell Moore | 721087 | 3 | 08/19/2015 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Stephen Darrell Moore | 721087 | 3 | 06/05/2015 | Customer Dispute | Settled | $264,000.00 | $0.00 | See FINRA Report |
| Dennis Clifton Hewlett | 1178161 | 4 | 09/17/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nicholas John Efthemis | 2821400 | 1 | 03/02/2011 | Customer Dispute | Closed-No Action | $32,198.90 | $0.00 | See FINRA Report |
| Dennis Clifton Hewlett | 1178161 | 4 | 07/27/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Chad Mitton | 4187917 | 1 | 10/14/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| John Glyn Evans | 4730539 | 4 | 09/10/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |