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 |
|---|---|---|---|---|---|---|---|---|
| John Wayne Davis | 2392753 | 1 | 09/09/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Joseph Dragotta | 6699441 | 1 | 08/13/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew James Mulholland | 6527114 | 1 | 06/25/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Monique Aime Jacques | 3188408 | 4 | 06/21/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lorenzo Chavez | 6257392 | 3 | 04/15/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Brook Herford | 6139448 | 1 | 01/10/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Keng Taing | 4655742 | 1 | 10/20/2009 | Customer Dispute | Denied | $15,086.80 | $0.00 | See FINRA Report |
| Paige Elizabeth Puckett | 7596305 | 1 | 07/03/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Brian Eilen | 2457226 | 2 | 06/01/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Wade Michael Engebretson | 6655311 | 1 | 04/18/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |