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 |
|---|---|---|---|---|---|---|---|---|
| Jason Harris Freeman | 2995587 | 2 | 08/30/2002 | Customer Dispute | Denied | $32,032.00 | $0.00 | See FINRA Report |
| Kimball Roy Doxey | 2353183 | 3 | 07/30/2002 | Customer Dispute | Settled | $5,053.00 | $0.00 | See FINRA Report |
| John Edward Levee | 2022567 | 2 | 05/12/2001 | Customer Dispute | Denied | $42,000.00 | $0.00 | See FINRA Report |
| Michael Thomas Redmond | 3164646 | 1 | 10/13/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Timothy Kirkpatrick Whipple | 2829688 | 1 | 05/08/2000 | Customer Dispute | Closed-No Action | $6,600.00 | $0.00 | See FINRA Report |
| Eddie Ghabour | 3069984 | 1 | 02/01/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marc J Bernstein | 1284160 | 1 | 04/18/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |