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.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| David Louis Ciano | 2174074 | 4 | 04/21/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Patrick Oneil | 1426336 | 2 | 03/23/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Moiz Husain | 2224939 | 1 | 04/24/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jason Shutts | 7600385 | 1 | 11/20/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Chad Joseph Edwards | 5437543 | 1 | 11/19/2008 | Employment Separation After Allegations | $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 |
| Connie Helen Polaha | 2886498 | 1 | 04/19/2008 | Employment Separation After Allegations | $0.00 | $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 |