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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Thomas Rathmanner | 2665527 | 1 | 02/10/2003 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Steven Francis Kittay | 730821 | 3 | 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 |
| James David Kallstrom | 2498681 | 9 | 08/06/2001 | Customer Dispute | Final | $78,556.70 | $0.00 | See FINRA Report |
| Peter Christopher King | 1418552 | 4 | 06/29/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James David Kallstrom | 2498681 | 9 | 04/24/2001 | Customer Dispute | Denied | $195,000.00 | $0.00 | See FINRA Report |
| Peter Christopher King | 1418552 | 4 | 04/17/2001 | Customer Dispute | Settled | $53,000.00 | $0.00 | See FINRA Report |
| James David Kallstrom | 2498681 | 9 | 12/20/2000 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| James David Kallstrom | 2498681 | 9 | 11/06/2000 | Customer Dispute | Settled | $46,523.70 | $0.00 | See FINRA Report |