Our Staff has compiled our research into a database of FINRA Broker Disclosures for John Hancock Distributors 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 |
|---|---|---|---|---|---|---|---|---|
| Michael Roth Wind | 6622139 | 1 | 02/28/2023 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Endri Alfaro | 6310855 | 1 | 02/27/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Sarah Ann Frich | 6317861 | 1 | 11/01/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| David S Richards | 5223260 | 8 | 03/25/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David S Richards | 5223260 | 8 | 01/04/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David S Richards | 5223260 | 8 | 10/21/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David S Richards | 5223260 | 8 | 03/25/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David S Richards | 5223260 | 8 | 01/29/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David S Richards | 5223260 | 8 | 10/28/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David S Richards | 5223260 | 8 | 12/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |