Our Staff has compiled our research into a database of FINRA Broker Disclosures for THE Oak Ridge Financial Services 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 |
|---|---|---|---|---|---|---|---|---|
| Roman Gadaskin | 2219368 | 1 | 05/15/2024 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| David Harold Finch | 2031060 | 2 | 10/24/2022 | Customer Dispute | Denied | $19,500.00 | $0.00 | See FINRA Report |
| David Kallman Paton | 1746167 | 4 | 06/25/2020 | Customer Dispute | Denied | $38,000.00 | $0.00 | See FINRA Report |
| Richard William Rokala | 2646330 | 3 | 10/14/2019 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Richard William Rokala | 2646330 | 3 | 05/09/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Richard William Rokala | 2646330 | 3 | 01/22/2018 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| David Kallman Paton | 1746167 | 4 | 12/08/2017 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Patrick Neal Lundy | 1595203 | 1 | 01/25/2016 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| David Jay Goldenberg | 2681956 | 1 | 10/16/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jon Erving Berg | 2399821 | 1 | 09/21/2007 | Customer Dispute | Award / Judgment | $100,000.00 | $187,376.00 | See FINRA Report |