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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Eugene Packingham | 4590039 | 2 | 06/14/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ronald Eugene Packingham | 4590039 | 2 | 05/17/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gabriel Thomas Rausch | 6132770 | 1 | 05/01/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Monique Aime Jacques | 3188408 | 4 | 04/04/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stuart Henderson | 6436062 | 2 | 04/01/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cesar David Arriaza | 5473181 | 1 | 03/03/2011 | Customer Dispute | Closed-No Action | $7,333.32 | $0.00 | See FINRA Report |
| Seth David Sherman | 2327454 | 1 | 12/27/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Peter Garcia | 7416564 | 1 | 12/20/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Denis Otieno Osiro | 6703687 | 1 | 12/03/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Grace M Jones | 6591657 | 2 | 09/18/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |