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 |
|---|---|---|---|---|---|---|---|---|
| Sarwar Zaman Khan | 2090656 | 1 | 03/28/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dawn Michelle Shannon | 4189840 | 1 | 12/20/2010 | Customer Dispute | Settled | $9,413.53 | $0.00 | See FINRA Report |
| James Michael Ortenzio | 1499407 | 3 | 11/12/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael V Marino | 2181716 | 1 | 11/12/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Martin Doyle Olson | 3213498 | 4 | 10/28/2010 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Francis J. Detota | 5596745 | 1 | 08/30/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Roger Soo | 2641965 | 1 | 08/25/2010 | Customer Dispute | Closed-No Action | $3,470,000.00 | $0.00 | See FINRA Report |
| Martin Doyle Olson | 3213498 | 4 | 08/23/2010 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Gerald Martin Mirra | 834197 | 1 | 08/23/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carlo Joseph Marano | 827475 | 1 | 08/23/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |