Our Staff has compiled our research into a database of FINRA Broker Disclosures for Oakwood Capital Securities, 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 |
|---|---|---|---|---|---|---|---|---|
| Travis Jordan Penfield | 6104530 | 1 | 10/16/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Kenneth Sunderland | 2492179 | 1 | 06/25/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Thomas French | 1274357 | 1 | 03/02/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Alan Strommen | 863085 | 6 | 12/30/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Joseph Haberman | 1273944 | 3 | 08/19/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |