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 |
|---|---|---|---|---|---|---|---|---|
| Yong-Durk Lee | 4612279 | 1 | 06/03/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shawntae Nikea Colman-Royston | 6439003 | 1 | 05/28/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Justin Paine | 4544671 | 3 | 01/28/2019 | Customer Dispute | Denied | $10,700.00 | $0.00 | See FINRA Report |
| James Edward Barnes | 5904416 | 3 | 10/31/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| G. David Nolan | 1248361 | 1 | 10/08/2018 | Customer Dispute | Denied | $68,000.00 | $0.00 | See FINRA Report |
| Richard Charles Petersen | 3062994 | 4 | 10/04/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Edward Robinson | 2096303 | 3 | 09/24/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Charles Petersen | 3062994 | 4 | 09/14/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Arthur Albert Mangiro | 1744967 | 8 | 07/18/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patrick Neil Farrell | 2376686 | 1 | 06/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |