Our Staff has compiled our research into a database of FINRA Broker Disclosures for First Liberties Financial. 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 |
|---|---|---|---|---|---|---|---|---|
| Thomas James Carstens | 2141430 | 5 | 06/26/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas James Carstens | 2141430 | 5 | 02/27/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas James Carstens | 2141430 | 5 | 01/08/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas James Carstens | 2141430 | 5 | 11/14/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Alan Vollbrecht | 2316065 | 7 | 09/12/2012 | Customer Dispute | Settled | $6,000,000.00 | $0.00 | See FINRA Report |
| Robert Alan Vollbrecht | 2316065 | 7 | 07/12/2011 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Robert Alan Vollbrecht | 2316065 | 7 | 06/20/2011 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Robert Alan Vollbrecht | 2316065 | 7 | 02/03/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Alan Vollbrecht | 2316065 | 7 | 01/24/2011 | Customer Dispute | Settled | $810,140.00 | $0.00 | See FINRA Report |
| Robert Alan Vollbrecht | 2316065 | 7 | 09/24/2009 | Customer Dispute | Settled | $2,454,850.00 | $0.00 | See FINRA Report |