Our Staff has compiled our research into a database of FINRA Broker Disclosures for First Trust Portfolios L.P.. 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 |
|---|---|---|---|---|---|---|---|---|
| Dane Nathan Eppen | 5231640 | 2 | 08/17/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lynn Boyd Strong | 6082840 | 1 | 06/11/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dane Nathan Eppen | 5231640 | 2 | 05/29/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael John Darr | 1905898 | 2 | 02/14/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael John Darr | 1905898 | 2 | 02/14/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Joseph Ratay | 6537792 | 1 | 09/24/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Berry | 7657486 | 1 | 06/14/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Mario Montefalco | 6345591 | 1 | 02/12/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Darrin Hughes | 5799069 | 2 | 07/15/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Darrin Hughes | 5799069 | 2 | 07/15/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |