Our Staff has compiled our research into a database of FINRA Broker Disclosures for THE Investment Center, Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Andre Krause | 4060322 | 2 | 06/06/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andre Krause | 4060322 | 2 | 03/19/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Karen Santini Clemens | 1921035 | 1 | 03/11/2024 | Customer Dispute | Denied | $7,638.20 | $0.00 | See FINRA Report |
| William Geoffrey Parker | 3182885 | 1 | 12/15/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kevin Anthony Zappia | 1360824 | 1 | 10/25/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Evans Leininger | 809473 | 2 | 10/19/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Fitzgerald Kennedy | 2352643 | 1 | 05/22/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Herbert Hundley | 2517897 | 1 | 05/16/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Robert Paul Donlan | 1030997 | 11 | 06/21/2021 | Customer Dispute | Denied | $5,300.00 | $0.00 | See FINRA Report |
| Alan Aaron Eisenstein | 2834026 | 1 | 01/26/2021 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |