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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Frederick Harris | 2775162 | 2 | 03/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Anthony Sale | 4948614 | 1 | 09/26/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bracken Dennis Larsen | 2642203 | 1 | 07/10/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Robert Argyle | 5275753 | 1 | 04/17/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Michael Raine | 2360466 | 5 | 11/19/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Michael Raine | 2360466 | 5 | 09/04/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Michael Raine | 2360466 | 5 | 08/20/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Michael Raine | 2360466 | 5 | 07/30/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |