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 |
|---|---|---|---|---|---|---|---|---|
| Mark Patrick Monahan | 6508945 | 1 | 08/13/2005 | Criminal | Final Disposition | $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 |
| Samuel Killgore Ross | 1111825 | 2 | 02/18/2005 | Employment Separation After Allegations | $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 |
| Thomas Albert Brennan | 1095518 | 1 | 12/08/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Wayne Thompson | 713539 | 1 | 10/13/2003 | Customer Dispute | Settled | $10,500.00 | $0.00 | See FINRA Report |
| Dennis Lee Travis | 2166809 | 7 | 10/06/2003 | Customer Dispute | Denied | $6,495.39 | $0.00 | See FINRA Report |
| James Michael Parker | 1981413 | 1 | 02/07/2003 | Customer Dispute | Denied | $7,538.75 | $0.00 | See FINRA Report |
| Rick L Greenlee | 1736676 | 1 | 01/02/2003 | Customer Dispute | Denied | $6,835.19 | $0.00 | See FINRA Report |
| Kerry Richard Whalen | 1570057 | 1 | 10/15/2002 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |