Our Staff has compiled our research into a database of FINRA Broker Allegations for James Aloysius Conwell.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| James Aloysius Conwell | 1436190 | 7 | 06/02/2024 | Customer Dispute | Denied | $52,913.10 | $0.00 | See Allegations |
| James Aloysius Conwell | 1436190 | 7 | 03/08/2017 | Customer Dispute | Award / Judgment | $155,000.00 | $5,054,000.00 | See Allegations |
| James Aloysius Conwell | 1436190 | 7 | 01/27/2017 | Customer Dispute | Award / Judgment | $75,000.00 | $5,054,000.00 | See Allegations |
| James Aloysius Conwell | 1436190 | 7 | 07/14/2016 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| James Aloysius Conwell | 1436190 | 7 | 04/21/2008 | Customer Dispute | Denied | $67,000.00 | $0.00 | See Allegations |
| James Aloysius Conwell | 1436190 | 7 | 03/13/2008 | Customer Dispute | Denied | $6,300.00 | $0.00 | See Allegations |
| James Aloysius Conwell | 1436190 | 7 | 11/06/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations |