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 |
|---|---|---|---|---|---|---|---|---|
| Curtis Verl Hansen | 1680663 | 2 | 07/19/2002 | Customer Dispute | Denied | $7,441.27 | $0.00 | See FINRA Report |
| Stanley Clyde Mock | 337375 | 1 | 03/27/2002 | Customer Dispute | Settled | $45,545.00 | $0.00 | See FINRA Report |
| Terry Lee Garrard | 3086574 | 1 | 03/25/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Frank Regan | 3195746 | 1 | 10/12/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Arthur Peter Sanger | 826217 | 1 | 06/06/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott James Kroeger | 1740958 | 1 | 01/06/2000 | Customer Dispute | Settled | $6,613.00 | $0.00 | See FINRA Report |
| Scott Alexander Kaplan | 6151694 | 3 | 10/08/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stanley John Lovelace | 1855811 | 1 | 08/14/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher L Clepp | 6172518 | 2 | 07/01/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lester Martin Presley | 1936066 | 2 | 12/18/1996 | Customer Dispute | Settled | $17,700.00 | $0.00 | See FINRA Report |