Our Staff has compiled our research into a database of FINRA Broker Allegations for David Wilson Fleming.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| David Wilson Fleming | 1021968 | 5 | 11/25/2019 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| David Wilson Fleming | 1021968 | 5 | 07/18/2019 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| David Wilson Fleming | 1021968 | 5 | 07/05/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations | |
| David Wilson Fleming | 1021968 | 5 | 05/24/2017 | Customer Dispute | Award / Judgment | $728,000.00 | $0.00 | See Allegations |
| David Wilson Fleming | 1021968 | 5 | 06/22/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See Allegations |