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 |
|---|---|---|---|---|---|---|---|---|
| Lawrence Lee Epple | 1350675 | 1 | 03/21/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Michael Whiting | 1752042 | 4 | 12/06/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Harvey Allan Kaluzna | 2073577 | 2 | 10/23/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Denver Lee Nelson | 2934419 | 2 | 09/27/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rodney Blake Christ | 2103830 | 2 | 07/18/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Denver Lee Nelson | 2934419 | 2 | 07/06/2017 | Customer Dispute | Denied | $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 |
| Timothy John McCormack | 4338396 | 2 | 02/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jack D Steele | 4441152 | 1 | 02/22/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jennifer Lynn Vogel | 5499283 | 1 | 02/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |