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 |
|---|---|---|---|---|---|---|---|---|
| Shane D Wieters | 7370190 | 5 | 06/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Anthony MacDonald | 6501089 | 1 | 05/19/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alexis Carlyn Halsey | 5352732 | 3 | 02/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alexis Carlyn Halsey | 5352732 | 3 | 02/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leonardo Conceicao Chantre | 7185242 | 4 | 02/20/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leonardo Conceicao Chantre | 7185242 | 4 | 02/20/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Russell Lloyd Spellman | 5752606 | 3 | 02/18/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alexis Carlyn Halsey | 5352732 | 3 | 01/31/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Thomas McWilliams | 2762832 | 3 | 01/16/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Thomas McWilliams | 2762832 | 3 | 01/16/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |