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 | 2 | 02/20/2020 | Customer Dispute | Closed-No Action | $86,864.90 | $0.00 | See FINRA Report |
| Joseph Donald Teifer | 4837464 | 2 | 04/02/2019 | Customer Dispute | Closed-No Action | $19,419.00 | $0.00 | See FINRA Report |
| Joseph Donald Teifer | 4837464 | 2 | 04/02/2019 | Customer Dispute | Closed-No Action | $60,591.00 | $0.00 | See FINRA Report |
| Robert Alan Salles | 1468194 | 6 | 10/26/2017 | Customer Dispute | Closed-No Action | $16,000.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 06/16/2016 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |