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 |
|---|---|---|---|---|---|---|---|---|
| Kimberly Alicia Michel | 1940862 | 4 | 08/30/2010 | Customer Dispute | Settled | $800,357.00 | $0.00 | See FINRA Report |
| Brent Richard Ewert | 2104116 | 2 | 04/28/2009 | Customer Dispute | Denied | $387,078.00 | $0.00 | See FINRA Report |
| Jefferson Davis Feaganes | 1401848 | 1 | 03/02/2009 | Customer Dispute | Settled | $38,000.00 | $0.00 | See FINRA Report |
| Dennis Lee Travis | 2166809 | 7 | 02/10/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Fred Francisco Sprinz | 843931 | 1 | 07/07/2008 | Customer Dispute | Denied | $26,240.00 | $0.00 | See FINRA Report |
| Andrew Thomas Ullmann | 1293001 | 3 | 04/13/2007 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Christopher David Heckadon | 2946921 | 1 | 12/26/2006 | Customer Dispute | Denied | $10,604.00 | $0.00 | See FINRA Report |
| Sean James Otoole | 2833156 | 2 | 11/20/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter David Sentance | 1002084 | 2 | 05/25/2006 | Customer Dispute | Withdrawn | $162,000.00 | $0.00 | See FINRA Report |
| Andrew Thomas Ullmann | 1293001 | 3 | 05/03/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |