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 | 08/17/2015 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Garland Sean James | 2308721 | 27 | 05/10/2015 | Customer Dispute | Settled | $6,492.56 | $0.00 | See Allegations |
| Garland Sean James | 2308721 | 27 | 12/04/2008 | Customer Dispute | Denied | $17,649.00 | $0.00 | See Allegations |
| Garland Sean James | 2308721 | 27 | 06/30/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See Allegations |
| Garland Sean James | 2308721 | 27 | 01/12/2005 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See Allegations |
| Garland Sean James | 2308721 | 27 | 10/08/1999 | Customer Dispute | Denied | $20,000.00 | $0.00 | See Allegations |
| Garland Sean James | 2308721 | 27 | 04/26/1999 | Customer Dispute | Settled | $10,100.00 | $0.00 | See Allegations |
| Garland Sean James | 2308721 | 27 | 04/12/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations | |
| Garland Sean James | 2308721 | 27 | 02/19/1999 | Customer Dispute | Denied | $13,000.00 | $0.00 | See Allegations |
| Garland Sean James | 2308721 | 27 | 06/12/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations |