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FINRA Broker Disclosures for Harbour Investments, Inc.

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.

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Displaying 41-50 out of 62 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Mark Allen Herding2239357212/10/2002Customer DisputeSettled$550,000.00$0.00See FINRA Report
Todd Gary Carless2305135207/30/2002Customer DisputeSettled$123,000.00$0.00See FINRA Report
Kenneth Carl Kauth1250530307/11/2002Customer DisputeDenied$33,000.00$0.00See FINRA Report
Kenneth William Rumbaugh1364691405/06/2002Investigation$0.00$0.00See FINRA Report
Nick William Sondel1261064204/29/2002Customer DisputeSettled$100,000.00$0.00See FINRA Report
Earl Erik Gauger2881767212/14/2001RegulatoryFinal$0.00$0.00See FINRA Report
Kenneth William Rumbaugh1364691404/11/2001Customer DisputeSettled$95,000.00$0.00See FINRA Report
Kenneth William Rumbaugh1364691403/07/2001Customer DisputeClosed-No Action$150,000.00$0.00See FINRA Report
Kenneth William Rumbaugh1364691403/07/2001Customer DisputeClosed-No Action$50,000.00$0.00See FINRA Report
Chris Charles Morgan2265541212/29/1999Customer DisputeDenied$9,000.00$0.00See FINRA Report

62 Results

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