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 | 03/03/2015 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 02/13/2015 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| Erik Quinn Gallegos | 2577904 | 4 | 02/04/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Alan Hanlin | 5299411 | 1 | 10/03/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 09/22/2014 | Customer Dispute | Settled | $1,256,980.00 | $0.00 | See FINRA Report |
| Walter James Powrozek | 2549804 | 1 | 07/21/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 04/03/2014 | Customer Dispute | Settled | $485,000.00 | $0.00 | See FINRA Report |
| Rodney Lee Clark | 1928306 | 3 | 03/06/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 05/01/2013 | Customer Dispute | Closed-No Action | $44,252.00 | $0.00 | See FINRA Report |
| Steven James Jagusch | 1264093 | 3 | 04/25/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |