Our Staff has compiled our research into a database of FINRA Disclosures for David Douglas Swanson. Search or filter the database to find more about this broker.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| David Douglas Swanson | 1464923 | 9 | 04/10/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Douglas Swanson | 1464923 | 9 | 10/07/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Douglas Swanson | 1464923 | 9 | 10/06/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Douglas Swanson | 1464923 | 9 | 05/01/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Douglas Swanson | 1464923 | 9 | 12/22/1999 | Customer Dispute | Award / Judgment | $10,325.00 | $4,126.55 | See FINRA Report |
| David Douglas Swanson | 1464923 | 9 | 07/22/1996 | Customer Dispute | Award / Judgment | $95,000,000.00 | $40,000.00 | See FINRA Report |
| David Douglas Swanson | 1464923 | 9 | 07/01/1996 | Customer Dispute | Settled | $505,323.00 | $0.00 | See FINRA Report |
| David Douglas Swanson | 1464923 | 9 | 07/01/1996 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| David Douglas Swanson | 1464923 | 9 | 11/09/1988 | Customer Dispute | Settled | $14,420.80 | $0.00 | See FINRA Report |