Our Staff has compiled our research into a database of FINRA Broker Disclosures for Northwest Investment Advisors, 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 |
|---|---|---|---|---|---|---|---|---|
| Sean Michael Grubb | 4110305 | 4 | 04/06/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sean Michael Grubb | 4110305 | 4 | 06/15/2019 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Sean Michael Grubb | 4110305 | 4 | 05/07/2019 | Customer Dispute | Settled | $580,000.00 | $0.00 | See FINRA Report |
| Sean Michael Grubb | 4110305 | 4 | 06/27/2018 | Customer Dispute | Award / Judgment | $330,000.00 | $360,000.00 | See FINRA Report |
| Dan Maizel | 1301794 | 2 | 11/25/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dick Lam | 300876 | 3 | 03/25/1986 | Customer Dispute | Award / Judgment | $50,000.00 | $56,000.00 | See FINRA Report |