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 |
|---|---|---|---|---|---|---|---|---|
| Herman Henry Klingelhofer | 1994850 | 1 | 02/12/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter David Glickenhaus | 1174327 | 1 | 07/21/1994 | Customer Dispute | Settled | $57,000.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 12/30/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 11/01/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lynn Maynard McCrum | 1050078 | 3 | 05/14/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Joe Randazzo | 2019363 | 1 | 08/05/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Thomas Laskey | 2354286 | 3 | 04/30/1992 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lynn Maynard McCrum | 1050078 | 3 | 01/28/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Kirkham Marshall | 1685731 | 1 | 04/24/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eddie Ngo | 347460 | 1 | 01/01/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |