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 |
|---|---|---|---|---|---|---|---|---|
| Dennis R Hammond | 716022 | 2 | 09/08/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| 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 |
| Dennis R Hammond | 716022 | 2 | 03/05/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Kowal | 7636936 | 1 | 07/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Devin D Iafelice | 6636174 | 1 | 02/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |