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 Richard Badalamenti | 2065038 | 5 | 08/29/2011 | Customer Dispute | Settled | $1,080,000.00 | $0.00 | See FINRA Report |
| Charles Richard Badalamenti | 2065038 | 5 | 08/29/2011 | Customer Dispute | Settled | $2,563,000.00 | $0.00 | See FINRA Report |
| Charles Richard Badalamenti | 2065038 | 5 | 08/09/2011 | Customer Dispute | Settled | $2,950,000.00 | $0.00 | See FINRA Report |
| David B Gardner | 4825061 | 1 | 01/22/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Loay S Naser | 2233089 | 1 | 09/14/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Barry William Wong | 2815798 | 2 | 10/24/2008 | Customer Dispute | Settled | $5,000.00 | $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 | 2 | 09/22/2008 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| John Kiem Liong Kwee | 1531077 | 1 | 04/13/2006 | Customer Dispute | Settled | $2,200.00 | $0.00 | See FINRA Report |
| John Edward Levee | 2022567 | 2 | 07/14/2005 | Customer Dispute | Denied | $51,203.00 | $0.00 | See FINRA Report |