Our Staff has compiled our research into a database of FINRA Broker Disclosures for Caldwell Sutter Capital, Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Evan Lyle Hershey | 3146598 | 1 | 04/17/2023 | Customer Dispute | Settled | $426,706.00 | $0.00 | See FINRA Report |
| Russell Lee Goings | 1018872 | 3 | 11/18/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Russell Lee Goings | 1018872 | 3 | 04/21/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Paul Coutre | 2446362 | 1 | 03/05/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gregory Joseph Harder | 5614504 | 1 | 10/26/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Russell Lee Goings | 1018872 | 3 | 03/24/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Michael Ducote | 72548 | 1 | 01/15/1990 | Customer Dispute | Award / Judgment | $200,000.00 | $188,858.00 | See FINRA Report |