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 |
|---|---|---|---|---|---|---|---|---|
| George Morgan Palmer | 5102414 | 1 | 12/28/2022 | 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 John Darr | 1905898 | 2 | 02/14/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Mario Montefalco | 6345591 | 2 | 05/15/2019 | Judgment / Lien | $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 | 2 | 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 | |
| Michael Naples | 5843270 | 2 | 03/18/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Vince Dino Dagostino | 4379320 | 1 | 04/19/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |