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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Jack Wendell Griffith | 1446978 | 5 | 02/17/2017 | Customer Dispute | Settled | $4,265,640.00 | $0.00 | See FINRA Report |
| David Michael White | 2316760 | 6 | 02/07/2017 | Customer Dispute | Settled | $225,000.00 | $0.00 | See FINRA Report |
| David Lowell Vickery | 1156835 | 3 | 08/15/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rodney Lee Clark | 1928306 | 3 | 08/02/2016 | Customer Dispute | Settled | $5,896.23 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 06/06/2016 | Customer Dispute | Settled | $1,600,000.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 06/01/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 06/01/2016 | Customer Dispute | Settled | $1,411,000.00 | $0.00 | See FINRA Report |
| Harvey Allan Kaluzna | 2073577 | 2 | 05/09/2016 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |