Our Staff has compiled our research into a database of FINRA Broker Disclosures for Sanders Morris Harris LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Donald Anthony Sanders | 410116 | 6 | 09/12/2017 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Erick George Revelle Kuebler | 2319437 | 2 | 03/09/2017 | Customer Dispute | Award / Judgment | $500,000.00 | $11,396.10 | See FINRA Report |
| Donald Anthony Sanders | 410116 | 6 | 04/15/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Donald Anthony Sanders | 410116 | 6 | 02/11/2010 | Customer Dispute | Settled | $87,000.00 | $0.00 | See FINRA Report |
| William Dimmitt McBee | 846049 | 1 | 03/02/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Arthur Haag Sherman | 2813406 | 1 | 08/16/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| George Henry Arnold | 1779940 | 1 | 07/18/2002 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Erick George Revelle Kuebler | 2319437 | 2 | 04/09/1999 | Customer Dispute | Award / Judgment | $1,400,000.00 | $964,981.00 | See FINRA Report |
| Erik Syver Klefos | 1284228 | 1 | 08/18/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| George Lester Ball | 11332 | 5 | 01/06/1994 | Customer Dispute | Settled | $88,000.00 | $0.00 | See FINRA Report |