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 | 05/11/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Stephen Michael Whiting | 1752042 | 4 | 12/06/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Terrie Lynn Sims | 3102453 | 1 | 09/15/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Gary Peterson | 3019838 | 1 | 03/03/2017 | 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 |
| Julia Oh | 6287149 | 1 | 04/01/2015 | 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 |
| Michael Anthony Barrella | 1455748 | 3 | 03/04/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Adam Charles Peak | 5140404 | 3 | 02/26/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Adam Charles Peak | 5140404 | 3 | 02/26/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |