Our Staff has compiled our research into a database of FINRA Broker Disclosures for Alight Financial Solutions, LLC. 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 Michael Bruzik | 1833112 | 1 | 04/24/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Emmanuel Jose Gomez | 7329549 | 1 | 06/14/2023 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Eric Tavaie Ruffin | 6613954 | 1 | 03/16/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Anthony Flores | 7145144 | 1 | 05/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roger Louis Sherman-Rivera | 2220071 | 1 | 02/28/2020 | Customer Dispute | Settled | $4,000,000.00 | $0.00 | See FINRA Report |
| Sally Jo Osborne | 1495700 | 2 | 08/03/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Marion Foley | 4706246 | 1 | 04/20/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Joel Barling | 4292041 | 1 | 02/02/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sally Jo Osborne | 1495700 | 2 | 02/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Terrel Levar White | 5762708 | 1 | 10/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |