Our Staff has compiled our research into a database of FINRA Broker Disclosures for SGI Securities 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 |
|---|---|---|---|---|---|---|---|---|
| Ernest Domenic Kappotis | 4871251 | 1 | 03/04/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Donald Robert Pollard | 2181631 | 2 | 01/08/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Karl August Samsen | 7246714 | 1 | 03/03/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Donald Robert Pollard | 2181631 | 2 | 01/06/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew Schupak | 2404355 | 1 | 07/12/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |