Our Staff has compiled our research into a database of FINRA Broker Disclosures for . Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| William M Swayne | 4616158 | 6 | 12/26/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William M Swayne | 4616158 | 6 | 04/22/2015 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| William M Swayne | 4616158 | 6 | 10/15/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William M Swayne | 4616158 | 6 | 11/12/2013 | Customer Dispute | Award / Judgment | $800,500.00 | $1,134,910.00 | See FINRA Report |
| William M Swayne | 4616158 | 6 | 01/31/2011 | Customer Dispute | Award / Judgment | $2,816,790.00 | $1,862,960.00 | See FINRA Report |
| William M Swayne | 4616158 | 6 | 10/09/2009 | Customer Dispute | Settled | $1,298,790.00 | $0.00 | See FINRA Report |