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 |
|---|---|---|---|---|---|---|---|---|
| William Eldon Tufts | 2053884 | 3 | 11/11/2019 | Customer Dispute | Closed-No Action | $89,063.40 | $0.00 | See FINRA Report |
| William Eldon Tufts | 2053884 | 3 | 02/12/2018 | Customer Dispute | Closed-No Action | $28,000.00 | $0.00 | See FINRA Report |
| Charles Elmer Sorensen | 3255618 | 5 | 06/27/2016 | Customer Dispute | Closed-No Action | $94,133.40 | $0.00 | See FINRA Report |
| Charles Elmer Sorensen | 3255618 | 5 | 01/26/2016 | Customer Dispute | Closed-No Action | $234,000.00 | $0.00 | See FINRA Report |
| Benjamin Thomas Newhouse | 3105894 | 2 | 06/29/2005 | Customer Dispute | Closed-No Action | $98,528.20 | $0.00 | See FINRA Report |
| Timothy Kirkpatrick Whipple | 2829688 | 1 | 05/08/2000 | Customer Dispute | Closed-No Action | $6,600.00 | $0.00 | See FINRA Report |