Our Staff has compiled our research into a database of FINRA Broker Disclosures for Sorrento Pacific Financial, LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Edward Montagna | 2239081 | 5 | 09/16/2015 | Customer Dispute | Denied | $6,100.00 | $0.00 | See FINRA Report |
| Edward Montagna | 2239081 | 5 | 02/06/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Craig Welch | 3060732 | 1 | 01/16/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Cedric Levye | 5495885 | 2 | 11/18/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Craig Stephen Layman | 1141483 | 2 | 02/01/2012 | Customer Dispute | Denied | $25,939.00 | $0.00 | See FINRA Report |
| Reed Theodore Johnson | 1833316 | 2 | 03/15/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Craig Stephen Layman | 1141483 | 2 | 10/13/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Pugliese | 1183060 | 1 | 09/20/2007 | Customer Dispute | Denied | $98,000.00 | $0.00 | See FINRA Report |
| Shannon Renee Irwin | 2081007 | 1 | 10/15/1999 | Customer Dispute | Award / Judgment | $9,597.00 | $9,597.20 | See FINRA Report |
| Lance Robert Terry | 7555368 | 1 | 08/03/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |