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 |
|---|---|---|---|---|---|---|---|---|
| Dennis Lee Travis | 2166809 | 7 | 11/03/2017 | Customer Dispute | Settled | $57,643.60 | $0.00 | See FINRA Report |
| Dennis Lee Travis | 2166809 | 7 | 09/13/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kimberly Alicia Michel | 1940862 | 4 | 06/30/2011 | Customer Dispute | Settled | $563,744.00 | $0.00 | See FINRA Report |
| Dennis Lee Travis | 2166809 | 7 | 04/19/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stanley Keith Gage | 2343459 | 1 | 09/30/2010 | Customer Dispute | Settled | $27,980.00 | $0.00 | See FINRA Report |
| Kimberly Alicia Michel | 1940862 | 4 | 09/24/2010 | Customer Dispute | Settled | $1,265,290.00 | $0.00 | See FINRA Report |
| Kimberly Alicia Michel | 1940862 | 4 | 09/07/2010 | Customer Dispute | Settled | $493,382.00 | $0.00 | See FINRA Report |
| Kimberly Alicia Michel | 1940862 | 4 | 08/30/2010 | Customer Dispute | Settled | $800,357.00 | $0.00 | See FINRA Report |
| Jefferson Davis Feaganes | 1401848 | 1 | 03/02/2009 | Customer Dispute | Settled | $38,000.00 | $0.00 | See FINRA Report |
| Andrew Thomas Ullmann | 1293001 | 3 | 04/13/2007 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |