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 | 05/01/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 11/14/2014 | Customer Dispute | Settled | $406,000.00 | $0.00 | See FINRA Report |
| Karen Degro | 5048237 | 18 | 10/24/2014 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Karen Degro | 5048237 | 18 | 10/06/2014 | Customer Dispute | Settled | $189,330.00 | $0.00 | See FINRA Report |
| Karen Degro | 5048237 | 18 | 07/08/2014 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 05/28/2014 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 12/25/2013 | Customer Dispute | Denied | $35,896.00 | $0.00 | See FINRA Report |
| Carlos Ruben Alvarado | 1329628 | 30 | 05/06/2013 | Customer Dispute | Settled | $187,326.00 | $0.00 | See FINRA Report |
| Rebecca Louise Beckett | 5417719 | 2 | 01/29/2013 | Customer Dispute | Settled | $112,000.00 | $0.00 | See FINRA Report |
| William Duffy Ford | 1198575 | 2 | 10/01/2012 | Customer Dispute | Settled | $375,000.00 | $0.00 | See FINRA Report |