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 |
|---|---|---|---|---|---|---|---|---|
| Rebecca Louise Beckett | 5417719 | 2 | 01/26/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sean McGordan Lalljee | 3112655 | 1 | 01/31/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Braden Golembiesky | 4498169 | 3 | 07/19/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Duffy Ford | 1198575 | 2 | 07/30/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Patrick Garrettson | 871896 | 2 | 04/16/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Patrick Garrettson | 871896 | 2 | 11/28/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |