Our Staff has compiled our research into a database of FINRA Disclosures for James Edmond Moniz. 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 |
|---|---|---|---|---|---|---|---|---|
| James Edmond Moniz | 852438 | 12 | 04/03/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Edmond Moniz | 852438 | 12 | 05/22/2017 | Customer Dispute | Settled | $318,237.00 | $0.00 | See FINRA Report |
| James Edmond Moniz | 852438 | 12 | 12/02/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Edmond Moniz | 852438 | 12 | 01/09/2015 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| James Edmond Moniz | 852438 | 12 | 01/09/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Edmond Moniz | 852438 | 12 | 12/10/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Edmond Moniz | 852438 | 12 | 10/08/2014 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Edmond Moniz | 852438 | 12 | 07/18/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Edmond Moniz | 852438 | 12 | 06/09/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Edmond Moniz | 852438 | 12 | 09/19/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |