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 | |
| 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 | |
| Thomas Joseph Sowinski | 1159924 | 3 | 11/13/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Donald R Ayers | 1529464 | 1 | 03/20/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James P Kelley | 1694993 | 7 | 11/09/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Elizabeth Ann Kelley | 2386900 | 6 | 11/09/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James P Kelley | 1694993 | 7 | 07/20/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher Leonard Landa | 1897958 | 6 | 04/02/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sam Jack Swanson | 440837 | 4 | 12/19/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |