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 |
|---|---|---|---|---|---|---|---|---|
| Peggy Joan Hastings | 4358208 | 1 | 11/25/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph James Ruiz | 5899118 | 1 | 05/13/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Michael Stockbridge | 4154621 | 1 | 12/19/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shafieq Aryan | 7263293 | 1 | 11/26/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Casey Charles Cote | 5505505 | 1 | 10/11/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dave Ryan Brauhn | 4050860 | 1 | 10/02/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Randy Eric Young | 2204006 | 1 | 10/19/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Lawrence Wolven | 2756264 | 1 | 06/26/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Paul MacKintosh | 4585285 | 1 | 07/01/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Michael Cauthron | 6526766 | 1 | 06/01/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |