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 |
|---|---|---|---|---|---|---|---|---|
| Michael Ryan Coyne | 4674176 | 13 | 05/06/2024 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |
| Michael Ryan Coyne | 4674176 | 13 | 05/03/2024 | Customer Dispute | Pending | $290,000.00 | $0.00 | See FINRA Report |
| Michael Ryan Coyne | 4674176 | 13 | 05/02/2024 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Ratay | 6537792 | 1 | 09/24/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Sprout Shannon | 2962973 | 1 | 03/18/2008 | Customer Dispute | Closed-No Action | $45,352.00 | $0.00 | See FINRA Report |
| Robert Leo Derochie | 4788919 | 1 | 07/13/2006 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Richard Allan Olson | 830376 | 1 | 07/29/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |