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 | 11/18/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Powell Hill | 2163742 | 3 | 07/19/2011 | Customer Dispute | Denied | $672,000.00 | $0.00 | See FINRA Report |
| Kimberly Alicia Michel | 1940862 | 4 | 06/30/2011 | Customer Dispute | Settled | $563,744.00 | $0.00 | See FINRA Report |
| Christopher Powell Hill | 2163742 | 3 | 06/23/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John David Campbell | 716930 | 3 | 06/16/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dennis Lee Travis | 2166809 | 7 | 04/19/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Robert Murphree II | 4592590 | 1 | 04/12/2011 | Customer Dispute | Denied | $5,672.00 | $0.00 | See FINRA Report |
| Patty Kelley Scott | 2797415 | 2 | 03/08/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Owen Michel | 2046994 | 2 | 03/02/2011 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Thomas Owen Michel | 2046994 | 2 | 10/18/2010 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |