Our Staff has compiled our research into a database of FINRA Broker Allegations for Sean Michael Fleming.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Sean Michael Fleming | 6516544 | 4 | 01/03/2023 | Customer Dispute | Award / Judgment | $1,330,280.00 | $483,333.00 | See Allegations |
| Sean Michael Fleming | 6516544 | 4 | 03/30/2022 | Customer Dispute | Settled | $460,000.00 | $0.00 | See Allegations |
| Sean Michael Fleming | 6516544 | 4 | 01/31/2022 | Customer Dispute | Settled | $150,000.00 | $0.00 | See Allegations |
| Sean Michael Fleming | 6516544 | 4 | 01/07/2022 | Customer Dispute | Settled | $200,000.00 | $0.00 | See Allegations |