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 |
|---|---|---|---|---|---|---|---|---|
| Robert Keenan | 2000976 | 3 | 02/17/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Carl Richter | 4026945 | 2 | 02/04/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Phil Galen Ward | 4141511 | 1 | 11/10/2009 | Customer Dispute | Closed-No Action | $38,000.00 | $0.00 | See FINRA Report |
| Mark Bolton Yarbrough | 734487 | 9 | 11/09/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patrick Thayne Williams | 2727398 | 10 | 09/10/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Ramon Delao | 2406749 | 9 | 07/20/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Aaron Jeremiah Ochoa | 4222628 | 3 | 05/07/2009 | Customer Dispute | Settled | $6,225.00 | $0.00 | See FINRA Report |
| Eric Alan Sands | 1802844 | 2 | 02/23/2009 | Customer Dispute | Denied | $6,877.82 | $0.00 | See FINRA Report |
| Aaron Jeremiah Ochoa | 4222628 | 3 | 11/13/2008 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| William McGonigle | 4307014 | 2 | 05/22/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |