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 |
|---|---|---|---|---|---|---|---|---|
| Daniel John Balogh | 1398194 | 2 | 04/12/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dan Wilbern Schlicher | 4424616 | 1 | 06/10/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |