Our Staff has compiled our research into a database of FINRA Broker Disclosures for State Street Global Advisors Funds Distributors, L. 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 |
|---|---|---|---|---|---|---|---|---|
| Stan Francois | 1718403 | 1 | 11/29/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gregory Dean Wortz | 4215848 | 1 | 01/23/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Prokop Pawlowski | 5632058 | 1 | 08/03/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Haley Doree Weinig | 7053435 | 1 | 10/13/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Darius Carnell Tandy | 3005078 | 1 | 12/20/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kevin Peter Farrell | 2849978 | 1 | 03/15/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |