Our Staff has compiled our research into a database of FINRA Broker Disclosures for Herbert J. Sims & Co, Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Shane Alexander Appelbaum | 4772668 | 3 | 05/28/2024 | Customer Dispute | Pending | $3,000,000.00 | $0.00 | See FINRA Report |
| Karen Degro | 5048237 | 18 | 02/20/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stacy Mari Goldsmith | 1416323 | 4 | 12/12/2023 | Customer Dispute | Pending | $150,000.00 | $0.00 | See FINRA Report |
| Michael Braden Golembiesky | 4498169 | 3 | 11/28/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stacy Mari Goldsmith | 1416323 | 4 | 10/17/2022 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Stacy Mari Goldsmith | 1416323 | 4 | 04/18/2022 | Customer Dispute | Pending | $95,000.00 | $0.00 | See FINRA Report |
| Stacy Mari Goldsmith | 1416323 | 4 | 04/14/2022 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Steven Bae Cho | 2610257 | 1 | 09/15/2021 | Customer Dispute | Settled | $29,501.00 | $0.00 | See FINRA Report |
| Elizabeth Loretta Teifer | 6009776 | 2 | 09/03/2021 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 11/04/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |