Our Staff has compiled our research into a database of FINRA Broker Disclosures for Harbour Investments, 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 |
|---|---|---|---|---|---|---|---|---|
| John A Locke | 5566294 | 1 | 09/21/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Matthew Christian Bayer | 2744627 | 2 | 11/30/2022 | Customer Dispute | Denied | $57,173.80 | $0.00 | See FINRA Report |
| Cassandra Marie Brose | 5971200 | 1 | 03/19/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Jay Lamb | 4833692 | 1 | 03/19/2021 | Customer Dispute | Denied | $10,958.00 | $0.00 | See FINRA Report |
| Nathan Alexander Littrell | 6287789 | 1 | 10/31/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Carless | 6431603 | 2 | 05/08/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Carless | 6431603 | 2 | 07/25/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Allen Thompson | 4341369 | 2 | 04/04/2017 | Customer Dispute | Settled | $3,008.70 | $0.00 | See FINRA Report |
| Aaron G Tachon | 5509270 | 1 | 06/17/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Thomas Groves | 1869909 | 1 | 01/09/2015 | Customer Dispute | Withdrawn | $21,721.00 | $0.00 | See FINRA Report |