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 |
|---|---|---|---|---|---|---|---|---|
| Dustin Robert Insley | 6609589 | 2 | 01/27/2020 | Customer Dispute | Denied | $23,900.00 | $0.00 | See FINRA Report |
| Joel M Guerrero | 4634404 | 2 | 01/27/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Quincy Jovon Goudeau | 4446099 | 2 | 11/19/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Michael Whiting | 1752042 | 4 | 07/25/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Bosl | 4219694 | 1 | 06/25/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Walter James Hails | 2618254 | 1 | 04/24/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gary Duane Richmond | 2729652 | 1 | 03/31/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Michael Lynch | 2790102 | 2 | 10/24/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Eugene Marrs | 2475024 | 5 | 10/22/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Michael Whiting | 1752042 | 4 | 05/11/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |