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 |
|---|---|---|---|---|---|---|---|---|
| H. Brad Kerr | 1005341 | 3 | 06/10/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Philip Harrington Sandt | 4361592 | 4 | 05/24/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jan Peter Cummins | 718836 | 3 | 05/07/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Simeon Simpson | 424938 | 4 | 04/13/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Regina Elena Ohlman | 4236023 | 1 | 04/01/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Thomas Ohlman | 1560807 | 1 | 04/01/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Anthony Arvanites | 706347 | 4 | 03/22/2021 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Craig Allen Lewis | 2264865 | 5 | 02/02/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Matthew David O'Brien | 6580824 | 6 | 01/20/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew David O'Brien | 6580824 | 6 | 01/20/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |