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 |
|---|---|---|---|---|---|---|---|---|
| Nir Regev | 1847410 | 2 | 01/10/2019 | Customer Dispute | Award / Judgment | $50,000.00 | $4,999.00 | 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 | 02/02/2018 | Customer Dispute | Settled | $121,672.00 | $0.00 | See FINRA Report |
| Charles Elmer Sorensen | 3255618 | 5 | 08/24/2016 | Customer Dispute | Settled | $100,000.00 | $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 |
| Charles Elmer Sorensen | 3255618 | 5 | 11/09/2015 | Customer Dispute | Settled | $107,000.00 | $0.00 | See FINRA Report |
| Barry William Wong | 2815798 | 2 | 11/06/2014 | Customer Dispute | Denied | $160,126.00 | $0.00 | See FINRA Report |
| Charles Richard Badalamenti | 2065038 | 5 | 12/09/2011 | Customer Dispute | Settled | $747,500.00 | $0.00 | See FINRA Report |
| Charles Richard Badalamenti | 2065038 | 5 | 08/29/2011 | Customer Dispute | Settled | $809,750.00 | $0.00 | See FINRA Report |