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 |
|---|---|---|---|---|---|---|---|---|
| Samirian Demettree Hill | 2795685 | 1 | 11/01/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Clay Dudley Thompson | 2638547 | 1 | 10/22/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Wanda L Sosa | 7071812 | 3 | 10/15/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Benjamin Andrew Anton | 6485775 | 1 | 09/01/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John James Lopez | 5335751 | 2 | 05/14/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Torre | 4939991 | 1 | 05/13/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Heber Luis Lopez | 7486039 | 1 | 02/27/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas May | 3269143 | 2 | 01/11/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Wanda L Sosa | 7071812 | 3 | 12/24/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter John Lesiczka | 5764493 | 1 | 10/20/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |