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 |
|---|---|---|---|---|---|---|---|---|
| Fred Francisco Sprinz | 843931 | 1 | 07/07/2008 | Customer Dispute | Denied | $26,240.00 | $0.00 | See FINRA Report |
| Christopher David Heckadon | 2946921 | 1 | 12/26/2006 | Customer Dispute | Denied | $10,604.00 | $0.00 | See FINRA Report |
| Dennis Lee Travis | 2166809 | 7 | 10/06/2003 | Customer Dispute | Denied | $6,495.39 | $0.00 | See FINRA Report |
| James Michael Parker | 1981413 | 1 | 02/07/2003 | Customer Dispute | Denied | $7,538.75 | $0.00 | See FINRA Report |
| Rick L Greenlee | 1736676 | 1 | 01/02/2003 | Customer Dispute | Denied | $6,835.19 | $0.00 | See FINRA Report |
| Kerry Richard Whalen | 1570057 | 1 | 10/15/2002 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Curtis Verl Hansen | 1680663 | 2 | 07/19/2002 | Customer Dispute | Denied | $7,441.27 | $0.00 | See FINRA Report |
| William Frank Regan | 3195746 | 1 | 10/12/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |