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 |
|---|---|---|---|---|---|---|---|---|
| Jack M Prestigiacomo | 6968148 | 1 | 02/03/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeff E Pearse | 6396583 | 1 | 05/08/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Naples | 5843270 | 2 | 03/18/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Anthony Peter Borsellino | 6361275 | 1 | 06/15/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Vince Dino Dagostino | 4379320 | 1 | 04/19/2010 | Judgment / Lien | $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 |
| Nathan Carlson | 4908762 | 1 | 01/06/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Leo Derochie | 4788919 | 1 | 07/13/2006 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Cara Lyn Frigo | 6468844 | 1 | 04/23/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Matthew Brecher | 5480588 | 1 | 11/10/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |