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 |
|---|---|---|---|---|---|---|---|---|
| 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 | |
| Daniel John Balogh | 1398194 | 2 | 09/11/1995 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |