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 |
|---|---|---|---|---|---|---|---|---|
| Les R Campbell | 2993468 | 1 | 02/11/2020 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 08/23/2019 | Customer Dispute | Settled | $5,000,000.00 | $0.00 | See FINRA Report |
| Shane Alexander Appelbaum | 4772668 | 2 | 07/16/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 06/27/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jorge Alberto Maldonado | 3239238 | 6 | 06/20/2019 | Customer Dispute | Pending | $160,000.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 05/22/2019 | Customer Dispute | Settled | $225,000.00 | $0.00 | See FINRA Report |
| Jorge Alberto Maldonado | 3239238 | 6 | 04/25/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 04/11/2019 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 04/04/2019 | Customer Dispute | Settled | $326,799.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 04/03/2019 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |