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 | 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 |
| 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 |
| Joseph H Langlois | 4216281 | 2 | 01/16/2019 | Customer Dispute | Settled | $0.00 | $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 | 11/09/2015 | Customer Dispute | Settled | $107,000.00 | $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 |