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 |
|---|---|---|---|---|---|---|---|---|
| Michael Bosl | 4219694 | 1 | 06/25/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Walter James Hails | 2618254 | 1 | 04/24/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gary Duane Richmond | 2729652 | 1 | 03/31/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jack D Steele | 4441152 | 1 | 02/22/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen Michael Whiting | 1752042 | 4 | 02/14/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Rodney Lee Clark | 1928306 | 3 | 02/15/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jack Dyarl Mole | 843111 | 1 | 03/24/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Rakesh Bharti | 4853816 | 1 | 09/10/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mykel Ajani Barnes | 2822474 | 1 | 11/04/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher R Leidal | 4903545 | 1 | 09/17/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |