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 |