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 |
|---|---|---|---|---|---|---|---|---|
| Ralph James Devito | 1459156 | 5 | 12/11/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Miguel Angel Pagan | 2626328 | 3 | 10/05/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nicholas Hammond | 4371386 | 1 | 09/11/2012 | Customer Dispute | Denied | $5,574.65 | $0.00 | See FINRA Report |
| Jon Charles McAleney | 1439422 | 8 | 09/10/2012 | Customer Dispute | Settled | $55,000.00 | $0.00 | See FINRA Report |
| Peter George Neuberg | 2905111 | 3 | 08/31/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kevin Michael Conover | 4311040 | 2 | 07/19/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Charles Heverin | 1060202 | 1 | 05/31/2012 | Customer Dispute | Settled | $183,886.00 | $0.00 | See FINRA Report |
| Robert Paul Donlan | 1030997 | 11 | 01/25/2012 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Knut Lundberg | 4454585 | 2 | 12/14/2009 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Roger Austin Moss | 2180612 | 1 | 06/04/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |