Our Staff has compiled our research into a database of FINRA Broker Disclosures for Swbc Investment Services, 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 |
|---|---|---|---|---|---|---|---|---|
| Alejandro Manuel Sierra | 5792775 | 1 | 06/26/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Johnson | 4607174 | 2 | 04/18/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Johnson | 4607174 | 2 | 09/11/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Roger Adrian Versteeg | 1145792 | 2 | 05/21/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Donald Scott Rykert | 2128744 | 3 | 06/29/2004 | Customer Dispute | Award / Judgment | $18,792.00 | $19,419.40 | See FINRA Report |
| Roger Adrian Versteeg | 1145792 | 2 | 06/01/2004 | Customer Dispute | Settled | $23,632.30 | $0.00 | See FINRA Report |
| Donald Scott Rykert | 2128744 | 3 | 04/06/2004 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Donald Scott Rykert | 2128744 | 3 | 02/20/2003 | Customer Dispute | Closed-No Action | $224,095.00 | $0.00 | See FINRA Report |
| John Michael Luksa | 2685557 | 1 | 07/13/2000 | Customer Dispute | Settled | $12,810.00 | $0.00 | See FINRA Report |
| Daniel John Balogh | 1398194 | 2 | 09/11/1995 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |