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 |
| Jefferson Davis Feaganes | 1401848 | 1 | 03/02/2009 | Customer Dispute | Settled | $38,000.00 | $0.00 | See FINRA Report |
| Joseph Samuel Hanson | 5109237 | 3 | 05/23/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Thomas Ullmann | 1293001 | 3 | 04/13/2007 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Sean James Otoole | 2833156 | 2 | 11/20/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Thomas Ullmann | 1293001 | 3 | 05/03/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Leon Michael Deboer | 1026350 | 1 | 01/07/2005 | Customer Dispute | Settled | $6,600.00 | $0.00 | See FINRA Report |
| Sam Jack Swanson | 440837 | 4 | 04/30/2004 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| John Jay Takacs | 3241431 | 4 | 11/11/2003 | Customer Dispute | Settled | $10,220.00 | $0.00 | See FINRA Report |
| Robert Wayne Thompson | 713539 | 1 | 10/13/2003 | Customer Dispute | Settled | $10,500.00 | $0.00 | See FINRA Report |