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 |
|---|---|---|---|---|---|---|---|---|
| Frederick Harris | 2775162 | 2 | 12/18/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Reid Rowland | 4637116 | 4 | 09/24/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Colin Martin Mansfield | 4643275 | 1 | 06/07/2018 | Criminal | Pending Charge | $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 |
| Peter R Burnham | 4273583 | 1 | 01/10/2018 | Employment Separation After Allegations | $0.00 | $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 |
| Breanne Polonia | 4417531 | 1 | 05/17/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jason Harris Freeman | 2995587 | 2 | 03/04/2016 | Employment Separation After Allegations | $0.00 | $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 |