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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Michael Whiting | 1752042 | 4 | 02/14/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Michael White | 2316760 | 6 | 02/07/2017 | Customer Dispute | Settled | $225,000.00 | $0.00 | See FINRA Report |
| Quincy Jovon Goudeau | 4446099 | 2 | 11/15/2016 | Customer Dispute | Denied | $39,777.40 | $0.00 | See FINRA Report |
| Richard Rex Liess | 5515353 | 1 | 10/20/2016 | Customer Dispute | Closed-No Action | $35,000.00 | $0.00 | See FINRA Report |
| Rodney Blake Christ | 2103830 | 2 | 10/17/2016 | Judgment / Lien | $0.00 | $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 |
| Mark Alan Oldenburg | 2101398 | 1 | 06/07/2016 | Customer Dispute | Denied | $0.00 | $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 |