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 | 11/16/2006 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Robert Allen Harrison | 2105496 | 1 | 11/10/2005 | Customer Dispute | Withdrawn | $117,000.00 | $0.00 | See FINRA Report |
| Brian Wade Waelti | 2051318 | 1 | 02/23/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Michael Finn | 4007131 | 1 | 01/25/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Alan Block | 1522805 | 1 | 08/25/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Herbert Frederick Allen | 2168057 | 2 | 08/11/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Todd Gary Carless | 2305135 | 2 | 04/21/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Matthew Christian Bayer | 2744627 | 2 | 03/01/2004 | Customer Dispute | Pending | $149,000.00 | $0.00 | See FINRA Report |
| Kim I Marshall | 1690764 | 1 | 12/18/2003 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Sandy Kaye Derby | 2102710 | 1 | 05/14/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |