Our Staff has compiled our research into a database of FINRA Broker Allegations for Garland Sean James.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Garland Sean James | 2308721 | 27 | 12/18/2019 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Garland Sean James | 2308721 | 27 | 12/07/2018 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Garland Sean James | 2308721 | 27 | 03/28/2018 | Customer Dispute | Award / Judgment | $26,473.00 | $25,000.00 | See Allegations |
| Garland Sean James | 2308721 | 27 | 05/01/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| Garland Sean James | 2308721 | 27 | 03/10/2017 | Customer Dispute | Award / Judgment | $50,775.00 | $50,755.00 | See Allegations |
| Garland Sean James | 2308721 | 27 | 06/10/2016 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Garland Sean James | 2308721 | 27 | 12/28/2015 | Customer Dispute | Settled | $30,229.00 | $0.00 | See Allegations |
| Garland Sean James | 2308721 | 27 | 12/08/2015 | Customer Dispute | Settled | $37,000.00 | $0.00 | See Allegations |
| Garland Sean James | 2308721 | 27 | 11/02/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations | |
| Garland Sean James | 2308721 | 27 | 09/18/2015 | Customer Dispute | Settled | $31,110.00 | $0.00 | See Allegations |