Our Staff has compiled our research into a database of FINRA Broker Allegations for David Arthur Allen.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| David Arthur Allen | 2500427 | 3 | 10/23/2018 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| David Arthur Allen | 2500427 | 3 | 12/16/2015 | Customer Dispute | Award / Judgment | $148,000.00 | $250,177.00 | See Allegations |
| David Arthur Allen | 2500427 | 3 | 02/03/2015 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See Allegations |