Our Staff has compiled our research into a database of FINRA Broker Disclosures for Janney Montgomery Scott 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 |
|---|---|---|---|---|---|---|---|---|
| William Simeon Simpson | 424938 | 3 | 01/27/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Karl Alvin Ernst | 2103995 | 1 | 06/21/2002 | Customer Dispute | Closed-No Action | $126,912.00 | $0.00 | See FINRA Report |
| Harold Bertram Gross | 817550 | 5 | 06/10/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| William Simeon Simpson | 424938 | 3 | 01/28/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Theodore Frank Binder | 1925746 | 3 | 09/11/2001 | Customer Dispute | Closed-No Action | $6,865.00 | $0.00 | See FINRA Report |
| Murray Carter | 1911097 | 6 | 07/26/2001 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| William Simeon Simpson | 424938 | 3 | 07/02/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Lawrence Scott Richards | 2357072 | 4 | 04/05/2001 | Customer Dispute | Closed-No Action | $55,000.00 | $0.00 | See FINRA Report |
| Jeffrey Thomas Schultz | 2332248 | 2 | 03/23/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Stephen Eric Asendorf | 1018543 | 7 | 02/12/2001 | Customer Dispute | Closed-No Action | $8,200.00 | $0.00 | See FINRA Report |