Our Staff has compiled our research into a database of FINRA Broker Disclosures for Equity 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 |
|---|---|---|---|---|---|---|---|---|
| William Tyler Hinman | 2854971 | 4 | 11/22/2004 | Customer Dispute | Settled | $23,977.80 | $0.00 | See FINRA Report |
| Philip Charles Winkler | 4196973 | 1 | 03/08/2004 | Customer Dispute | Denied | $9,535.12 | $0.00 | See FINRA Report |
| Michael Sha Sy | 1855204 | 1 | 02/02/2004 | Customer Dispute | Denied | $68,965.60 | $0.00 | See FINRA Report |
| Daniel Alan Soud | 1966477 | 1 | 01/31/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Douglas Nolan Pi | 728030 | 1 | 09/17/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Anthony Maffei | 1054089 | 1 | 09/17/2003 | Customer Dispute | Settled | $325,000.00 | $0.00 | See FINRA Report |
| Michael Christopher Armstrong | 2205005 | 1 | 09/17/2003 | Customer Dispute | Settled | $325,000.00 | $0.00 | See FINRA Report |
| Frank Michael Lucia | 2258356 | 4 | 07/18/2003 | Customer Dispute | Settled | $57,492.00 | $0.00 | See FINRA Report |
| James Norman Riley | 1857635 | 3 | 05/20/2003 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| John Anthony Falco | 4240661 | 1 | 05/20/2003 | Customer Dispute | Pending | $38,349.00 | $0.00 | See FINRA Report |