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 |
|---|---|---|---|---|---|---|---|---|
| Roger Louis Sherman-Rivera | 2220071 | 1 | 02/28/2020 | Customer Dispute | Settled | $4,000,000.00 | $0.00 | See FINRA Report |
| Colleen Marie Etue | 5324748 | 1 | 06/16/2013 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |