Our Staff has compiled our research into a database of FINRA Broker Disclosures for Financial Resources Group Investment Services, 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 |
|---|---|---|---|---|---|---|---|---|
| Edward Bruce Miller | 1680275 | 1 | 11/13/2020 | Customer Dispute | Final | $4,000,000.00 | $0.00 | See FINRA Report |
| William A Ruland | 6597574 | 1 | 03/10/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Sean Rich | 2945947 | 1 | 04/11/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Nesaraja Christopher | 5761273 | 1 | 02/23/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lewis Bobby Walker | 2963731 | 2 | 07/02/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jerry Christopher Thompson | 2621099 | 2 | 07/28/2006 | Customer Dispute | Denied | $78,056.80 | $0.00 | See FINRA Report |
| Andrew Hawson | 1010993 | 1 | 11/01/2004 | Customer Dispute | Settled | $22,000.00 | $0.00 | See FINRA Report |
| Nirotam Mahes | 2438525 | 1 | 03/15/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gabriel Josias Barrantes | 4986908 | 1 | 02/23/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lewis Bobby Walker | 2963731 | 2 | 10/12/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |