Our Staff has compiled our research into a database of FINRA Broker Disclosures for THE Strategic Financial Alliance, 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 |
|---|---|---|---|---|---|---|---|---|
| Margaret Maria Swinney | 3029378 | 2 | 08/19/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Stephen Patrick Oneil | 1426336 | 2 | 03/23/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Amy Jo Shope | 2899857 | 8 | 11/04/2008 | Customer Dispute | Denied | $141,586.00 | $0.00 | See FINRA Report |
| Amy Jo Shope | 2899857 | 8 | 06/16/2008 | Customer Dispute | Settled | $29,728.00 | $0.00 | See FINRA Report |
| Gene Richard Dickison | 1216953 | 3 | 11/19/2007 | Customer Dispute | Denied | $15,139.00 | $0.00 | See FINRA Report |
| Amy Jo Shope | 2899857 | 8 | 05/04/2007 | Customer Dispute | Settled | $7,666.26 | $0.00 | See FINRA Report |
| Amy Jo Shope | 2899857 | 8 | 04/16/2007 | Customer Dispute | Settled | $6,200.00 | $0.00 | See FINRA Report |
| Joe Land Pearce | 3054851 | 3 | 09/18/2006 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Cheryl Lyn Knight | 1854248 | 3 | 05/15/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nancy Marie Corrigan | 4644847 | 3 | 04/05/2006 | Customer Dispute | Closed-No Action | $42,000.00 | $0.00 | See FINRA Report |