Our Staff has compiled our research into a database of FINRA Broker Disclosures for Nations Financial 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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Martin Gasbarre | 1922444 | 2 | 03/06/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew Arthur Tarini | 2566773 | 1 | 09/24/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brent Herman Hoffman | 3082397 | 2 | 02/04/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Malcom Ong | 5187950 | 2 | 07/22/2013 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Malcom Ong | 5187950 | 2 | 07/22/2013 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| John Wesley Wilkes | 3137610 | 1 | 06/10/2010 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Robert Charles Battin | 1613817 | 1 | 09/19/2005 | Customer Dispute | Settled | $797,771.00 | $0.00 | See FINRA Report |
| Seward Anderson Linton | 1076463 | 1 | 05/15/2003 | Customer Dispute | Settled | $9,769.00 | $0.00 | See FINRA Report |
| Gary Robert Carlson | 1407436 | 1 | 11/27/2001 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |