Our Staff has compiled our research into a database of FINRA Broker Disclosures for Empire State Financial, Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Michael Rensvold | 1477615 | 1 | 10/16/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan Seth Glass | 2834514 | 3 | 02/02/2009 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Bryan Seth Glass | 2834514 | 3 | 02/02/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Bryan Seth Glass | 2834514 | 3 | 09/30/2008 | Customer Dispute | Denied | $475,000.00 | $0.00 | See FINRA Report |
| Arnold Lloyd Miot | 2834469 | 1 | 05/08/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jacob Feder | 2616760 | 4 | 04/16/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jacob Feder | 2616760 | 4 | 12/01/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jacob Feder | 2616760 | 4 | 06/21/1999 | Customer Dispute | Award / Judgment | $7,883.89 | $7,883.89 | See FINRA Report |
| Jacob Feder | 2616760 | 4 | 10/01/1998 | Customer Dispute | Settled | $8,090.00 | $0.00 | See FINRA Report |