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 |
|---|---|---|---|---|---|---|---|---|
| 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 Charles Maffe | 2531832 | 1 | 07/02/2002 | Customer Dispute | Settled | $62,597.80 | $0.00 | See FINRA Report |
| Gregory Paul Kausch | 1944016 | 2 | 01/16/2001 | Customer Dispute | Settled | $6,137.00 | $0.00 | See FINRA Report |
| Kevin James Flynn | 1760171 | 3 | 12/11/2000 | Customer Dispute | Settled | $14,566.70 | $0.00 | See FINRA Report |
| J Townsend Gilbert | 2313345 | 2 | 08/08/2000 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Eric Jordan Lipton | 2833072 | 2 | 07/10/1999 | Customer Dispute | Settled | $5,923.99 | $0.00 | See FINRA Report |
| John N Kalil | 2455833 | 2 | 03/09/1999 | Customer Dispute | Settled | $36,000.00 | $0.00 | See FINRA Report |
| Frank Michael Lucia | 2258356 | 4 | 05/20/1996 | Customer Dispute | Settled | $26,740.00 | $0.00 | See FINRA Report |