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 |
|---|---|---|---|---|---|---|---|---|
| Steven Leslie Baru | 1722032 | 6 | 02/13/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Leslie Baru | 1722032 | 6 | 12/08/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Terrance Anthony Hefley | 5169024 | 1 | 11/18/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Richardson | 4146903 | 1 | 08/11/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Larry Dean Comstock | 817699 | 1 | 05/09/1989 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nathaniel Armstrong Smith | 2511822 | 1 | 01/05/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Dean Garbison | 5969784 | 1 | 10/11/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carol Lee Steward | 5590642 | 1 | 01/13/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Patrick F Beach | 2080176 | 1 | 02/23/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Blake Hortness | 4408943 | 1 | 04/18/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |