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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Carl Kauth | 1250530 | 3 | 07/11/2002 | Customer Dispute | Denied | $33,000.00 | $0.00 | See FINRA Report |
| Nick William Sondel | 1261064 | 2 | 04/29/2002 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Kenneth William Rumbaugh | 1364691 | 4 | 04/11/2001 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Kenneth William Rumbaugh | 1364691 | 4 | 03/07/2001 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |
| Kenneth William Rumbaugh | 1364691 | 4 | 03/07/2001 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Chris Charles Morgan | 2265541 | 2 | 12/29/1999 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Joseph Roy Reno | 846791 | 2 | 10/24/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Richard Wayne Lanius | 1476010 | 1 | 05/22/1997 | Customer Dispute | Settled | $677,740.00 | $0.00 | See FINRA Report |
| Mark Gerard Sweeney | 1036430 | 1 | 03/01/1994 | Customer Dispute | Settled | $18,519.00 | $0.00 | See FINRA Report |