Our Staff has compiled our research into a database of FINRA Broker Disclosures for Carl M. Hennig, 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 |
|---|---|---|---|---|---|---|---|---|
| John Francis Collopy | 51410 | 4 | 07/29/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Francis Collopy | 51410 | 4 | 08/20/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Francis Collopy | 51410 | 4 | 02/12/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Francis Collopy | 51410 | 4 | 10/01/1998 | Customer Dispute | Settled | $1,430,540.00 | $0.00 | See FINRA Report |
| Mary Elizabeth Briggs-Ficks | 1276298 | 1 | 06/30/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |