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 |
|---|---|---|---|---|---|---|---|---|
| Karen Santini Clemens | 1921035 | 1 | 03/11/2024 | Customer Dispute | Denied | $7,638.20 | $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 |
| Robert Paul Donlan | 1030997 | 11 | 10/22/2020 | Customer Dispute | Denied | $15,916.50 | $0.00 | See FINRA Report |
| Chang Lee | 2672951 | 1 | 01/06/2020 | Customer Dispute | Closed-No Action | $125,000.00 | $0.00 | See FINRA Report |
| Randall Bruce Simpson | 4245943 | 1 | 09/27/2017 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| David Michael Mc Corison | 4821258 | 1 | 11/21/2016 | Customer Dispute | Settled | $370,000.00 | $0.00 | See FINRA Report |
| Dennis William Baltz | 4980028 | 1 | 11/21/2016 | Customer Dispute | Settled | $370,000.00 | $0.00 | See FINRA Report |
| Peter George Neuberg | 2905111 | 3 | 10/27/2016 | Customer Dispute | Award / Judgment | $49,000.00 | $40,500.00 | See FINRA Report |