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 |
|---|---|---|---|---|---|---|---|---|
| Robert Sidney Thompson | 4918247 | 1 | 03/13/2008 | Customer Dispute | Settled | $6,500.00 | $0.00 | See FINRA Report |
| Deborah Winfree | 1270499 | 2 | 02/28/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Patrick Condon | 1509122 | 1 | 02/22/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Deborah Winfree | 1270499 | 2 | 07/18/2003 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Kathy Lynn Brown | 2086603 | 2 | 12/02/2002 | Customer Dispute | Settled | $55,000.00 | $0.00 | See FINRA Report |
| Kathy Lynn Brown | 2086603 | 2 | 08/19/2002 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Joseph Michael Branley | 4206726 | 1 | 08/14/2002 | Customer Dispute | Settled | $11,375.90 | $0.00 | See FINRA Report |
| Steven Brian Eilen | 2457226 | 2 | 03/15/2001 | Customer Dispute | Settled | $5,001.00 | $0.00 | See FINRA Report |
| John Richard Kelley | 2365845 | 1 | 09/11/2000 | Customer Dispute | Denied | $6,344.46 | $0.00 | See FINRA Report |
| Alex Shvartsman | 3017804 | 2 | 05/08/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |