Our Staff has compiled our research into a database of FINRA Broker Disclosures for THE Leaders Group, 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 |
|---|---|---|---|---|---|---|---|---|
| Hans Peter Ewert | 4358175 | 1 | 08/23/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Edward McFarlane | 1266863 | 4 | 07/08/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Cole Fortner | 2836588 | 1 | 06/10/2009 | Customer Dispute | Settled | $214,488.00 | $0.00 | See FINRA Report |
| Michael David Westerfield | 4900861 | 2 | 03/08/2009 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| John Bryan Setzler | 1945515 | 2 | 02/23/2009 | Customer Dispute | Denied | $12,002.50 | $0.00 | See FINRA Report |
| Thomas Michael Oliveira | 2753899 | 2 | 02/03/2009 | Customer Dispute | Settled | $7,200.00 | $0.00 | See FINRA Report |
| Terry Curtis Robertson | 1523139 | 3 | 12/05/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Luisa Gonzalez | 2765208 | 3 | 09/08/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Norman Smith | 2376770 | 1 | 08/15/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Edward McFarlane | 1266863 | 4 | 08/12/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |