Our Staff has compiled our research into a database of FINRA Broker Disclosures for THE O.N. Equity Sales Company. 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 Addison Wood | 1300304 | 8 | 10/29/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Samuel Killgore Ross | 1111825 | 2 | 09/18/2020 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |
| Sam Jack Swanson | 440837 | 4 | 09/07/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sam Jack Swanson | 440837 | 4 | 09/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Sowinski | 1159924 | 3 | 05/28/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Addison Wood | 1300304 | 8 | 03/05/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher Joseph Wood | 5754992 | 1 | 01/02/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Alling Bullard | 34973 | 1 | 12/10/2019 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Thomas Joseph Sowinski | 1159924 | 3 | 11/13/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| George James Wehrheim | 461431 | 2 | 05/30/2019 | Customer Dispute | Denied | $140,000.00 | $0.00 | See FINRA Report |