Our Staff has compiled our research into a database of FINRA Broker Disclosures for Intercarolina Financial Services, 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 Nelson Wiseman | 1621758 | 2 | 09/17/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric Koonwai Ng | 2780478 | 5 | 11/05/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric Koonwai Ng | 2780478 | 5 | 08/17/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric Koonwai Ng | 2780478 | 5 | 11/01/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric Koonwai Ng | 2780478 | 5 | 07/01/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |