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 |
|---|---|---|---|---|---|---|---|---|
| Walter Paul Shoczolek | 4488009 | 2 | 09/13/2023 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Matthew Joseph McDonald | 2837629 | 3 | 04/06/2022 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Matthew Joseph McDonald | 2837629 | 3 | 10/05/2021 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Adam Peter Kozak | 5949814 | 1 | 03/09/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew Joseph McDonald | 2837629 | 3 | 09/22/2020 | Customer Dispute | Settled | $225,000.00 | $0.00 | See FINRA Report |
| Charles Logan McLean | 4351084 | 1 | 09/08/2020 | Customer Dispute | Settled | $191,000.00 | $0.00 | See FINRA Report |
| Walter Paul Shoczolek | 4488009 | 2 | 04/28/2020 | Customer Dispute | Settled | $49,500.00 | $0.00 | See FINRA Report |
| Harvey Allan Kaluzna | 2073577 | 2 | 10/23/2017 | Customer Dispute | Settled | $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 |