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 |
|---|---|---|---|---|---|---|---|---|
| Ethan Jeremy Hundley | 2961132 | 4 | 11/20/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Matthew Krieger | 2441634 | 3 | 09/11/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Durrette Ama Ofosu | 4847699 | 1 | 06/01/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Randall Bruce Simpson | 4245943 | 1 | 09/27/2017 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Charles Fristoe Chelf | 3172102 | 3 | 08/21/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ethan Jeremy Hundley | 2961132 | 4 | 03/20/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Cobham Noyes | 2596087 | 2 | 01/20/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis William Baltz | 4980028 | 1 | 11/21/2016 | Customer Dispute | Settled | $370,000.00 | $0.00 | See FINRA Report |
| David Michael Mc Corison | 4821258 | 1 | 11/21/2016 | Customer Dispute | Settled | $370,000.00 | $0.00 | See FINRA Report |
| John Kolody | 1780995 | 1 | 10/03/2016 | Customer Dispute | Closed-No Action | $1,200,000.00 | $0.00 | See FINRA Report |