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 |
|---|---|---|---|---|---|---|---|---|
| Robert Alan Vollbrecht | 2316065 | 7 | 03/07/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas James Carstens | 2141430 | 5 | 05/19/2004 | Customer Dispute | Denied | $21,318.50 | $0.00 | See FINRA Report |
| Steven David Shaffer | 1027259 | 1 | 02/10/1995 | Customer Dispute | Settled | $198,576.00 | $0.00 | See FINRA Report |
| Andrew Eric Friedwald | 1354237 | 1 | 09/17/1993 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |