Our Staff has compiled our research into a database of FINRA Broker Disclosures for Polar Investment Counsel, 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 |
|---|---|---|---|---|---|---|---|---|
| Richard Lee Ell | 4540113 | 3 | 07/25/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| George Henry Rohrs | 1138985 | 3 | 08/29/2018 | Customer Dispute | Settled | $1,400,000.00 | $0.00 | See FINRA Report |
| Richard Lee Ell | 4540113 | 3 | 11/28/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Lee Ell | 4540113 | 3 | 12/10/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Patrick John Retzer | 1718585 | 1 | 08/25/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| George Henry Rohrs | 1138985 | 3 | 09/01/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| George Henry Rohrs | 1138985 | 3 | 04/25/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |