Our Staff has compiled our research into a database of FINRA Broker Disclosures for Ocean Tomo Investment Group, 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 |
---|---|---|---|---|---|---|---|---|
Kathy Efrem Sipinick | 3248100 | 1 | 01/20/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Howard Spindel | 708042 | 1 | 05/23/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |