Our Staff has compiled our research into a database of FINRA Broker Allegations for James Edward Lyons.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| James Edward Lyons | 1020397 | 12 | 02/15/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| James Edward Lyons | 1020397 | 12 | 05/04/2020 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See Allegations |
| James Edward Lyons | 1020397 | 12 | 06/18/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| James Edward Lyons | 1020397 | 12 | 09/05/2018 | Customer Dispute | Settled | $1,279,500.00 | $0.00 | See Allegations |
| James Edward Lyons | 1020397 | 12 | 06/04/2018 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| James Edward Lyons | 1020397 | 12 | 11/09/2017 | Customer Dispute | Award / Judgment | $5,000,000.00 | $2,986,710.00 | See Allegations |
| James Edward Lyons | 1020397 | 12 | 09/13/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| James Edward Lyons | 1020397 | 12 | 04/28/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations | |
| James Edward Lyons | 1020397 | 12 | 04/29/2016 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See Allegations |
| James Edward Lyons | 1020397 | 12 | 10/05/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |