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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| John Kolody | 1780995 | 1 | 10/03/2016 | Customer Dispute | Closed-No Action | $1,200,000.00 | $0.00 | See FINRA Report |
| Peter George Neuberg | 2905111 | 3 | 06/20/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Miguel Angel Pagan | 2626328 | 3 | 03/29/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Charles Lobosco | 2088662 | 1 | 12/17/2015 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Richard Lee Dalzotto | 2857324 | 1 | 03/08/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Andrew Gude | 2220463 | 3 | 07/28/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Fristoe Chelf | 3172102 | 3 | 06/26/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles Fristoe Chelf | 3172102 | 3 | 01/03/2013 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |