Our Staff has compiled our research into a database of FINRA Broker Disclosures for Mutual of Omaha Investor 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 |
|---|---|---|---|---|---|---|---|---|
| Jacqueline Proffit | 6758357 | 1 | 09/26/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Judy Lide Maxwell | 2652664 | 1 | 08/17/2022 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Franklin Mohri | 4123494 | 1 | 03/23/2022 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Pedro Rafael Pumarada-Urrutia | 4340005 | 2 | 01/21/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Isaac Leonardo Flamenco | 6139714 | 1 | 01/13/2022 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Russell Lloyd Spellman | 5752606 | 3 | 01/10/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Pedro Rafael Pumarada-Urrutia | 4340005 | 2 | 12/16/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Philip Clyde Sessoms | 6668590 | 4 | 07/21/2021 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Shane D Wieters | 7370190 | 5 | 07/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lovie Ross Scott | 7373154 | 1 | 05/05/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |