Our Staff has compiled our research into a database of FINRA Broker Allegations for Stephen Romney Swensen.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Stephen Romney Swensen | 2885578 | 5 | 02/26/2024 | Customer Dispute | Pending | $14,400,000.00 | $0.00 | See Allegations |
| Stephen Romney Swensen | 2885578 | 5 | 02/21/2024 | Customer Dispute | Pending | $7,100,000.00 | $0.00 | See Allegations |
| Stephen Romney Swensen | 2885578 | 5 | 05/12/2023 | Customer Dispute | Withdrawn | $15,000,000.00 | $0.00 | See Allegations |
| Stephen Romney Swensen | 2885578 | 5 | 04/18/2023 | Customer Dispute | Pending | $850,000.00 | $0.00 | See Allegations |
| Stephen Romney Swensen | 2885578 | 5 | 06/06/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations |