Our Staff has compiled our research into a database of FINRA Broker Disclosures for Siebert Williams Shank & 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 |
|---|---|---|---|---|---|---|---|---|
| Sherman Merle Swanson | 1188505 | 4 | 08/01/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Marvin Anthony Calpin | 2770789 | 3 | 08/31/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rasheia Rosa Johnson | 5891953 | 1 | 03/12/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sherman Merle Swanson | 1188505 | 4 | 06/12/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sherman Merle Swanson | 1188505 | 4 | 11/21/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sherman Merle Swanson | 1188505 | 4 | 08/20/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sean Kevin Werdlow | 2603124 | 1 | 01/12/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Keith Lathan | 5899810 | 1 | 03/14/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marvin Anthony Calpin | 2770789 | 3 | 08/04/1999 | Customer Dispute | Denied | $33,631.90 | $0.00 | See FINRA Report |
| Marvin Anthony Calpin | 2770789 | 3 | 08/04/1999 | Customer Dispute | Settled | $59,865.00 | $0.00 | See FINRA Report |