Our Staff has compiled our research into a database of FINRA Broker Disclosures for Waterford Capital, 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 |
|---|---|---|---|---|---|---|---|---|
| Kim Meyers Sams | 2715130 | 1 | 03/01/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Patrick Oconnor | 2143494 | 2 | 12/11/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Patrick Oconnor | 2143494 | 2 | 10/05/1999 | Customer Dispute | Award / Judgment | $35,000.00 | $4,000.00 | See FINRA Report |