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 |
|---|---|---|---|---|---|---|---|---|
| Dick Lam | 300876 | 3 | 11/17/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert James Thorson | 806446 | 2 | 01/01/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dan Maizel | 1301794 | 2 | 05/31/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dick Lam | 300876 | 3 | 04/06/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert James Thorson | 806446 | 2 | 06/01/1988 | Employment Separation After Allegations | $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 |
| Carl Preston Eshelman | 1158289 | 1 | 07/01/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |