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 | 07/16/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kurt Weston Leimbach | 5647518 | 1 | 07/22/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |