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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| David Kallman Paton | 1746167 | 4 | 01/14/2019 | Employment Separation After Allegations | $0.00 | $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 |
| Lora Jean Nickel | 4412872 | 7 | 10/05/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lora Jean Nickel | 4412872 | 7 | 08/25/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lora Jean Nickel | 4412872 | 7 | 01/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joel Steven Bovee | 1782536 | 2 | 01/26/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |