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 |
|---|---|---|---|---|---|---|---|---|
| Brian Ashley King | 2922648 | 1 | 05/05/2022 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Breanne Polonia | 4417531 | 1 | 05/17/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Barry William Wong | 2815798 | 2 | 11/06/2014 | Customer Dispute | Denied | $160,126.00 | $0.00 | See FINRA Report |
| Benjamin Thomas Newhouse | 3105894 | 2 | 10/14/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew Richard Hauber | 5301283 | 1 | 09/22/2008 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| John Edward Levee | 2022567 | 2 | 07/14/2005 | Customer Dispute | Denied | $51,203.00 | $0.00 | See FINRA Report |
| Anton Nicola Nijmeh | 2314585 | 1 | 07/15/2003 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| Gregory Jay Molle | 1316841 | 1 | 04/18/2003 | Customer Dispute | Denied | $35,388.00 | $0.00 | See FINRA Report |
| Jason Harris Freeman | 2995587 | 2 | 08/30/2002 | Customer Dispute | Denied | $32,032.00 | $0.00 | See FINRA Report |
| John Edward Levee | 2022567 | 2 | 05/12/2001 | Customer Dispute | Denied | $42,000.00 | $0.00 | See FINRA Report |