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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Karen Degro | 5048237 | 18 | 08/01/2018 | Customer Dispute | Settled | $651,000.00 | $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 |
| Carlos Ruben Alvarado | 1329628 | 30 | 07/02/2018 | Customer Dispute | Settled | $275,000.00 | $0.00 | See FINRA Report |
| David Martin Ravodowitz | 4181701 | 2 | 06/22/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Karen Degro | 5048237 | 18 | 06/19/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Alan Salles | 1468194 | 6 | 05/23/2018 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 05/15/2018 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |