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 |
|---|---|---|---|---|---|---|---|---|
| Earl Erik Gauger | 2881767 | 2 | 10/30/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Howard Smith | 4176633 | 1 | 07/11/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Danford Mark Byrens | 1292726 | 3 | 03/19/1998 | Regulatory | Final | $0.00 | $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 |
| Clayton James Tyree | 6691818 | 1 | 01/03/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Evan W Kluttz | 2048906 | 1 | 10/25/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Danford Mark Byrens | 1292726 | 3 | 08/01/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Gerard Sweeney | 1036430 | 1 | 03/01/1994 | Customer Dispute | Settled | $18,519.00 | $0.00 | See FINRA Report |
| Nick William Sondel | 1261064 | 2 | 03/31/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |