Our Staff has compiled our research into a database of FINRA Broker Disclosures for Independence Capital Co., 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 |
|---|---|---|---|---|---|---|---|---|
| Robert Wayne Warther | 813761 | 4 | 11/02/2016 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Thomas Gerard Schneider | 1010134 | 1 | 01/15/2016 | Customer Dispute | Denied | $27,000.00 | $0.00 | See FINRA Report |
| Robert Wayne Warther | 813761 | 4 | 09/30/2015 | Customer Dispute | Withdrawn | $8,149.12 | $0.00 | See FINRA Report |
| Sohrab Sadegi | 3064894 | 1 | 06/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Wayne Warther | 813761 | 4 | 01/29/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian David Miller | 5144274 | 1 | 04/07/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Joseph Spena | 431748 | 2 | 09/27/2005 | Customer Dispute | Denied | $219,540.00 | $0.00 | See FINRA Report |
| Anthony Joseph Spena | 431748 | 2 | 01/14/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Wayne Warther | 813761 | 4 | 06/10/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Thomas Gregory Scheiman | 1508288 | 1 | 08/30/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |