Our Staff has compiled our research into a database of FINRA Broker Disclosures for Mercer Allied Company, L.P.. 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 |
|---|---|---|---|---|---|---|---|---|
| Neal Aaron Slafsky | 1448417 | 2 | 08/24/2012 | Customer Dispute | Closed-No Action | $77,500.00 | $0.00 | See FINRA Report |
| Neal Aaron Slafsky | 1448417 | 2 | 08/24/2012 | Customer Dispute | Closed-No Action | $47,500.00 | $0.00 | See FINRA Report |
| William Lee Swearingen | 1800451 | 2 | 11/07/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Lee Swearingen | 1800451 | 2 | 04/12/2005 | Customer Dispute | Denied | $25,427.00 | $0.00 | See FINRA Report |
| Glenn Shane | 1219847 | 2 | 03/23/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Glenn Shane | 1219847 | 2 | 06/24/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce Francis Fitzsimmons | 5394139 | 1 | 02/18/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Scott Duncan | 1885913 | 1 | 11/20/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |