Our Staff has compiled our research into a database of FINRA Broker Disclosures for Dunham & Associates Investment Counsel, 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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Alan Dunham | 1149167 | 3 | 07/29/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Dunham | 1149167 | 3 | 06/12/2009 | Customer Dispute | Closed-No Action | $315,635.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Dunham | 1149167 | 3 | 09/22/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |