Our Staff has compiled our research into a database of FINRA Broker Disclosures for Sigma Financial Corporation. 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 |
|---|---|---|---|---|---|---|---|---|
| Dustin Robert Insley | 6609589 | 2 | 01/27/2020 | Customer Dispute | Denied | $23,900.00 | $0.00 | See FINRA Report |
| Lawrence Lee Epple | 1350675 | 1 | 03/21/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Harvey Allan Kaluzna | 2073577 | 2 | 10/23/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Denver Lee Nelson | 2934419 | 2 | 09/27/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Denver Lee Nelson | 2934419 | 2 | 07/06/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Laurence Edward Pierron | 1465942 | 1 | 03/13/2017 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| David Michael White | 2316760 | 6 | 02/07/2017 | Customer Dispute | Settled | $225,000.00 | $0.00 | See FINRA Report |
| Quincy Jovon Goudeau | 4446099 | 2 | 11/15/2016 | Customer Dispute | Denied | $39,777.40 | $0.00 | See FINRA Report |
| Richard Rex Liess | 5515353 | 1 | 10/20/2016 | Customer Dispute | Closed-No Action | $35,000.00 | $0.00 | See FINRA Report |
| David Lowell Vickery | 1156835 | 3 | 08/15/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |