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 |
---|---|---|---|---|---|---|---|---|
Mark Allen Herding | 2239357 | 2 | 12/10/2002 | Customer Dispute | Settled | $550,000.00 | $0.00 | See FINRA Report |
Todd Gary Carless | 2305135 | 2 | 07/30/2002 | Customer Dispute | Settled | $123,000.00 | $0.00 | See FINRA Report |
Kenneth Carl Kauth | 1250530 | 3 | 07/11/2002 | Customer Dispute | Denied | $33,000.00 | $0.00 | See FINRA Report |
Kenneth William Rumbaugh | 1364691 | 4 | 05/06/2002 | Investigation | $0.00 | $0.00 | See FINRA Report | |
Nick William Sondel | 1261064 | 2 | 04/29/2002 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
Earl Erik Gauger | 2881767 | 2 | 12/14/2001 | Regulatory | Final | $0.00 | $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 |