Our Staff has compiled our research into a database of FINRA Broker Allegations for William Madison Swayne.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| William Madison Swayne | 440968 | 10 | 11/25/2016 | Customer Dispute | Award / Judgment | $0.00 | $1,134,910.00 | See Allegations |
| William Madison Swayne | 440968 | 10 | 04/22/2015 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See Allegations |
| William Madison Swayne | 440968 | 10 | 10/15/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| William Madison Swayne | 440968 | 10 | 02/12/2014 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| William Madison Swayne | 440968 | 10 | 12/22/2011 | Customer Dispute | Settled | $985,970.00 | $0.00 | See Allegations |
| William Madison Swayne | 440968 | 10 | 01/31/2011 | Customer Dispute | Award / Judgment | $2,816,790.00 | $1,862,960.00 | See Allegations |
| William Madison Swayne | 440968 | 10 | 08/27/2009 | Customer Dispute | Settled | $1,298,790.00 | $0.00 | See Allegations |