Our Staff has compiled our research into a database of FINRA Broker Disclosures for ST. Bernard Financial Services, 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 |
|---|---|---|---|---|---|---|---|---|
| Patrick Thayne Williams | 2727398 | 10 | 11/26/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Huey Neely | 501565 | 5 | 11/16/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Huey Neely | 501565 | 5 | 09/19/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Bartlett Roach | 1642579 | 8 | 07/05/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Bartlett Roach | 1642579 | 8 | 05/07/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Bartlett Roach | 1642579 | 8 | 05/07/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Wayne Tomfohrde | 2340862 | 3 | 04/27/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Bartlett Roach | 1642579 | 8 | 11/03/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank Thomas Winters | 1733003 | 3 | 08/03/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Frank Thomas Winters | 1733003 | 3 | 08/03/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |