Our Staff has compiled our research into a database of FINRA Broker Disclosures for Allspring Funds Distributor, LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Stephanie Alice Negrotti | 6099142 | 1 | 01/03/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Connie Williams | 3139335 | 1 | 10/22/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher Paul Klauck | 5106636 | 1 | 11/21/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edmund Hammond | 6261105 | 1 | 11/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Kenneth Moninger | 2494976 | 1 | 08/14/2008 | Customer Dispute | Denied | $300,667.00 | $0.00 | See FINRA Report |
| Thomas John King | 6510624 | 1 | 05/15/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Maitram H Merkt | 5009451 | 1 | 01/26/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Paul Berg | 5277735 | 1 | 12/26/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Colin Thomas Walker | 5352727 | 1 | 03/03/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |