Our Staff has compiled our research into a database of FINRA Broker Disclosures for John Hancock Investment Management Distributors LL. 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 |
|---|---|---|---|---|---|---|---|---|
| Geoffrey Stafford Williams | 5481208 | 1 | 01/03/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ricardo Armando Cervantes | 5406145 | 1 | 04/22/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Randy Alan Schatz | 5764246 | 1 | 03/13/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Michael Lamonica | 4140931 | 1 | 01/24/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brendon Patrick Donovan | 4941406 | 1 | 06/19/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Benjamin Robert Spitz | 5405858 | 1 | 08/02/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Antonio Huertas | 6126102 | 2 | 05/22/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Judith Ann Stevenson | 1408907 | 1 | 11/18/2002 | Customer Dispute | Pending | $75,000.00 | $0.00 | See FINRA Report |
| Brandon Michael Sexton | 4452984 | 1 | 02/08/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Antonio Huertas | 6126102 | 2 | 09/09/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |