Our Staff has compiled our research into a database of FINRA Disclosures for Swan Sihua Shen. 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 |
|---|---|---|---|---|---|---|---|---|
| Swan Sihua Shen | 3036612 | 7 | 02/02/2022 | Customer Dispute | Denied | $27,000.00 | $0.00 | See FINRA Report |
| Swan Sihua Shen | 3036612 | 7 | 10/17/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Swan Sihua Shen | 3036612 | 7 | 08/18/2016 | Customer Dispute | Denied | $243,522.00 | $0.00 | See FINRA Report |
| Swan Sihua Shen | 3036612 | 7 | 02/27/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Swan Sihua Shen | 3036612 | 7 | 08/04/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Swan Sihua Shen | 3036612 | 7 | 08/31/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Swan Sihua Shen | 3036612 | 7 | 05/09/2004 | Customer Dispute | Denied | $11,102.30 | $0.00 | See FINRA Report |