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 Naples | 5843270 | 2 | 01/07/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Benjamin John Ogden | 2317733 | 1 | 07/01/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Allan Olson | 830376 | 1 | 07/29/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Alan Lagioia | 3120718 | 1 | 08/03/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Mark Scott | 2057628 | 1 | 04/18/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |