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 |
| 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 |
| Robert Jay Brooks | 1585399 | 3 | 04/21/2005 | Customer Dispute | Settled | $15,259.00 | $0.00 | See FINRA Report |
| Robert Jay Brooks | 1585399 | 3 | 04/14/2005 | Customer Dispute | Settled | $12,000,000.00 | $0.00 | See FINRA Report |
| Steven Francis Kittay | 730821 | 4 | 06/28/2002 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Peter Christopher King | 1418552 | 4 | 06/10/2002 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Peter Christopher King | 1418552 | 4 | 12/07/2001 | Customer Dispute | Settled | $37,831.00 | $0.00 | See FINRA Report |