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 |
|---|---|---|---|---|---|---|---|---|
| Jerome Stanley Rydell | 408389 | 91 | 09/14/1999 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Joseph Zelick Kowalsky | 3156212 | 1 | 07/28/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Michael White | 2316760 | 6 | 10/22/1998 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |
| Douglas John Hedley | 1067004 | 1 | 09/23/1998 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Donald Gerard Terns | 725597 | 2 | 08/12/1998 | Customer Dispute | Award / Judgment | $0.00 | $43,934.20 | See FINRA Report |
| Kenneth James Nutt | 1136601 | 1 | 02/12/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gina Renee Tropea | 2508117 | 1 | 07/07/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Douglas Alan Vanderstelt | 4051413 | 1 | 02/05/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Thomas Laskey | 2354286 | 3 | 01/29/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Lowell Vickery | 1156835 | 3 | 02/13/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |