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 |
|---|---|---|---|---|---|---|---|---|
| Elizabeth Loretta Teifer | 6009776 | 2 | 03/26/2018 | Customer Dispute | Denied | $11,149.90 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 02/28/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Karen Degro | 5048237 | 18 | 02/14/2018 | Customer Dispute | Settled | $1,150,000.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 01/25/2018 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Karen Degro | 5048237 | 18 | 12/21/2017 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 12/13/2017 | Customer Dispute | Settled | $640,457.00 | $0.00 | See FINRA Report |
| Robert Alan Salles | 1468194 | 6 | 10/26/2017 | Customer Dispute | Closed-No Action | $16,000.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 08/11/2017 | Customer Dispute | Settled | $375,000.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 05/10/2017 | Customer Dispute | Settled | $335,000.00 | $0.00 | See FINRA Report |
| Karen Degro | 5048237 | 18 | 05/08/2017 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |