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 |
|---|---|---|---|---|---|---|---|---|
| Patrick Neal Lundy | 1595203 | 1 | 01/25/2016 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Lora Jean Nickel | 4412872 | 7 | 08/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Raymond Boucher | 1922849 | 1 | 05/14/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Jay Brooks | 1585399 | 3 | 02/12/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lora Jean Nickel | 4412872 | 7 | 02/03/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lora Jean Nickel | 4412872 | 7 | 09/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James David Kallstrom | 2498681 | 9 | 02/15/2013 | Employment Separation After Allegations | $0.00 | $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 |
| Robert Jay Brooks | 1585399 | 3 | 04/21/2005 | Customer Dispute | Settled | $15,259.00 | $0.00 | See FINRA Report |