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 |
|---|---|---|---|---|---|---|---|---|
| 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 |