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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Linwood Forrest Hamilton | 823161 | 2 | 08/19/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John David Campbell | 716930 | 3 | 05/22/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Curtis Verl Hansen | 1680663 | 2 | 02/28/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas James Frank | 1170889 | 1 | 11/05/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dennis Lee Travis | 2166809 | 7 | 09/13/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Powell Hill | 2163742 | 3 | 04/25/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Lee Travis | 2166809 | 7 | 03/20/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |