Our Staff has compiled our research into a database of FINRA Broker Disclosures for Empower Financial Services, 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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Richard Buell | 4764299 | 2 | 08/11/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Grace M Jones | 6591657 | 2 | 07/06/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eric Lewis Kranowitz | 2927897 | 1 | 10/07/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Parker Ek | 6483825 | 1 | 05/23/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Wanda L Sosa | 7071812 | 3 | 08/11/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Michael Pontello | 6572358 | 1 | 07/12/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Vernon Welch | 4275027 | 1 | 03/10/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Danisha Gonzalez | 7023408 | 1 | 07/29/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cera Osborne | 6879593 | 1 | 04/26/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Benjamin Sia | 6887569 | 1 | 03/01/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |