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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Carlos Ruben Alvarado | 1329628 | 30 | 03/15/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Justin Corbett | 2958145 | 2 | 02/13/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Carlos Ruben Alvarado | 1329628 | 30 | 10/31/2018 | Customer Dispute | Settled | $1,100,000.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 09/10/2018 | Customer Dispute | Settled | $42,000.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 08/29/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 08/16/2018 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 07/31/2018 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Robert Alan Salles | 1468194 | 6 | 07/20/2018 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |