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 |
|---|---|---|---|---|---|---|---|---|
| Walter Joseph Roderer | 1470148 | 3 | 05/16/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Walter Joseph Roderer | 1470148 | 3 | 04/18/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Carl Kauth | 1250530 | 3 | 01/12/2011 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |
| Richard Arthur Deyo | 1793562 | 1 | 10/13/2010 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |
| Duane Edward Janka | 2441415 | 1 | 03/30/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Herbert Frederick Allen | 2168057 | 2 | 03/06/2009 | Customer Dispute | Denied | $19,000.00 | $0.00 | See FINRA Report |
| John Clarence Bodden | 2136178 | 1 | 12/17/2008 | Customer Dispute | Closed-No Action | $800,000.00 | $0.00 | See FINRA Report |
| Ian C Dick | 4648239 | 1 | 08/14/2008 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Chris Charles Morgan | 2265541 | 2 | 12/12/2006 | Customer Dispute | Closed-No Action | $36,000.00 | $0.00 | See FINRA Report |
| Gavin Christopher Dues | 4062227 | 1 | 12/07/2006 | Customer Dispute | Closed-No Action | $5,893.78 | $0.00 | See FINRA Report |