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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Michael Whiting | 1752042 | 4 | 07/25/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Michael Lynch | 2790102 | 2 | 10/24/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Michael Whiting | 1752042 | 4 | 05/11/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Michael Whiting | 1752042 | 4 | 12/06/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy John McCormack | 4338396 | 2 | 02/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Lynn Vogel | 5499283 | 1 | 02/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Alan Hanlin | 5299411 | 1 | 10/03/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rodney Lee Clark | 1928306 | 3 | 03/06/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Michael Davis | 6115702 | 1 | 03/05/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick James Welsh | 2605350 | 2 | 10/26/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |