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 |
|---|---|---|---|---|---|---|---|---|
| Mel Robert Hertz | 707875 | 5 | 01/01/1984 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Thomas Frederick Borst | 26381 | 5 | 06/11/1982 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Richard Bennett | 821115 | 7 | 04/23/1979 | Customer Dispute | Award / Judgment | $5,040.00 | $5,040.00 | See FINRA Report |
| Thomas Frederick Borst | 26381 | 5 | 08/31/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Frederick Borst | 26381 | 5 | 08/14/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Frederick Borst | 26381 | 5 | 04/09/1973 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Barnett Woll | 1096606 | 8 | 03/09/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward Barnett Woll | 1096606 | 8 | 06/28/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Frederick Borst | 26381 | 5 | 06/14/1971 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |