Potomac Analytics' Logo

FINRA Broker Allegations

Allegations against: Garland Sean James

Allegation type: Customer Dispute

Allegation status: Denied

The allegations read: Teh firm received a letter from the state of minnesota with allegetions from the customer that include "continuous tarding", large losses and failure to follow instructions with respect to margin trading. There was no compensatory damage ammount specified in the letter.

Back