Our Staff has compiled our research into a database of FINRA Broker Disclosures for N.I.S. Financial Services, 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 |
|---|---|---|---|---|---|---|---|---|
| Daron Philip Deplazes | 6916880 | 2 | 07/25/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Olivia Ann Littrell | 7176111 | 1 | 07/22/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sherri A Mauck | 5764228 | 1 | 04/03/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Alfred Ballard | 4526844 | 4 | 02/24/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daron Philip Deplazes | 6916880 | 2 | 12/03/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bruno Blair | 6552940 | 1 | 03/16/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Allen Byrd | 5307880 | 5 | 10/07/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Eugene Williams | 1772441 | 1 | 10/06/2005 | Customer Dispute | Closed-No Action | $6,835.00 | $0.00 | See FINRA Report |
| John Alfred Ballard | 4526844 | 4 | 03/01/2004 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Aaron Michael Clark | 6491119 | 1 | 08/16/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |