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 |
|---|---|---|---|---|---|---|---|---|
| James Patrick Condon | 1509122 | 1 | 02/22/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John James Lopez | 5335751 | 2 | 09/09/2004 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Philip Benjamin Clark | 6648799 | 1 | 08/03/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jesse Morris | 5802449 | 1 | 10/12/2003 | Criminal | Final Disposition | $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 |
| Brandon Michael Montgomery | 6346571 | 1 | 07/13/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Amy Marie Smith-Mann | 6067613 | 2 | 05/19/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Lester | 5802672 | 1 | 01/21/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kathy Lynn Brown | 2086603 | 2 | 12/02/2002 | Customer Dispute | Settled | $55,000.00 | $0.00 | See FINRA Report |
| Oscar Alejandro Rodriguez | 6277999 | 2 | 11/10/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |