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 |
|---|---|---|---|---|---|---|---|---|
| Donald R Ayers | 1529464 | 8 | 06/12/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Thomas Ullmann | 1293001 | 3 | 04/17/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Leonard Landa | 1897958 | 4 | 06/20/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Korie Henry | 6015985 | 1 | 03/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lara Marshawn Bacon | 5108502 | 1 | 01/13/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Edward Kemmerer | 1002910 | 1 | 07/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Hayward Thompson | 1267560 | 4 | 11/28/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Hayward Thompson | 1267560 | 4 | 11/28/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Hayward Thompson | 1267560 | 4 | 09/29/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Powell Hill | 2163742 | 3 | 04/25/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |