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 |
|---|---|---|---|---|---|---|---|---|
| David M Schabacker | 2318670 | 5 | 03/11/2004 | Customer Dispute | Denied | $71,132.50 | $0.00 | See FINRA Report |
| Robert Graham Johnson | 1003435 | 2 | 02/10/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Neal Tubbs | 2335750 | 1 | 11/12/2003 | Customer Dispute | Denied | $18,304.50 | $0.00 | See FINRA Report |
| Shirell Lefevre McNee | 2010763 | 1 | 10/21/2003 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Anthony Gonzales | 2262764 | 7 | 09/03/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Anthony Gonzales | 2262764 | 7 | 01/29/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Anthony Gonzales | 2262764 | 7 | 01/29/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Patrick James Welsh | 2605350 | 2 | 11/15/2002 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Spiro Voutsaras | 1870353 | 5 | 09/17/2002 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Roger Michael Ramirez | 2102115 | 2 | 06/21/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |