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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Leonardo Conceicao Chantre | 7185242 | 4 | 08/03/2021 | Judgment / Lien | $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 |
| Shane D Wieters | 7370190 | 5 | 08/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dean V Boucounis | 845180 | 1 | 07/15/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Miguel Angel Iniguez | 4299686 | 2 | 07/15/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Miguel Angel Iniguez | 4299686 | 2 | 07/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |