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 |
|---|---|---|---|---|---|---|---|---|
| Sean James Otoole | 2833156 | 2 | 10/05/2010 | Customer Dispute | Denied | $14,000.00 | $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 |
| Jordan Lee Funke | 6123070 | 1 | 12/18/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Sowinski | 1159924 | 3 | 05/26/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Timothy Patrick Reidy | 1017829 | 3 | 05/03/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brent Richard Ewert | 2104116 | 2 | 04/28/2009 | Customer Dispute | Denied | $387,078.00 | $0.00 | See FINRA Report |
| Timothy Patrick Reidy | 1017829 | 3 | 04/04/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |