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 | 05/29/2018 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Roberta Lee-Driscoll | 1837742 | 1 | 04/16/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mel Robert Hertz | 707875 | 5 | 04/02/2018 | Customer Dispute | Closed-No Action | $133,000.00 | $0.00 | See FINRA Report |
| Edward Barnett Woll | 1096606 | 8 | 01/08/2018 | Customer Dispute | Pending | $140,000.00 | $0.00 | See FINRA Report |
| Mel Robert Hertz | 707875 | 5 | 05/03/2017 | Customer Dispute | Denied | $11,062.10 | $0.00 | See FINRA Report |
| Edward Barnett Woll | 1096606 | 8 | 04/18/2017 | Customer Dispute | Pending | $69,768.00 | $0.00 | See FINRA Report |
| Michelle Rene Pommeranz | 4013615 | 1 | 03/13/2017 | Customer Dispute | Denied | $9,869.03 | $0.00 | See FINRA Report |
| Edward Barnett Woll | 1096606 | 8 | 12/02/2016 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Edward Barnett Woll | 1096606 | 8 | 11/18/2016 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Matthew Mayer | 6233439 | 1 | 07/07/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |