Our Staff has compiled our research into a database of FINRA Broker Disclosures for Dfpg Investments, LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Richard Hauber | 5301283 | 2 | 06/11/2024 | Customer Dispute | Pending | $97,533.20 | $0.00 | See FINRA Report |
| Troy Taku Wada | 5636479 | 2 | 03/12/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Scott Sheehan | 2328614 | 1 | 12/13/2023 | Customer Dispute | Pending | $475,000.00 | $0.00 | See FINRA Report |
| Colin Martin Mansfield | 4643275 | 2 | 05/01/2023 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Nir Regev | 1847410 | 2 | 04/19/2023 | Customer Dispute | Settled | $278,681.00 | $0.00 | See FINRA Report |
| Alexander Joseph Haviland | 6364128 | 1 | 02/28/2023 | Customer Dispute | Settled | $44,322.70 | $0.00 | See FINRA Report |
| Brian Ashley King | 2922648 | 1 | 05/05/2022 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Joseph H Langlois | 4216281 | 2 | 02/25/2022 | Customer Dispute | Settled | $870,000.00 | $0.00 | See FINRA Report |
| Troy Taku Wada | 5636479 | 2 | 08/05/2021 | Customer Dispute | Settled | $180,000.00 | $0.00 | See FINRA Report |
| William Eldon Tufts | 2053884 | 3 | 09/10/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |