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 |
|---|---|---|---|---|---|---|---|---|
| David Dixon Lewis | 1004661 | 12 | 06/09/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Dixon Lewis | 1004661 | 12 | 06/09/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Dixon Lewis | 1004661 | 12 | 06/09/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Dixon Lewis | 1004661 | 12 | 01/16/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Dixon Lewis | 1004661 | 12 | 02/06/2013 | Customer Dispute | Settled | $1,100,000.00 | $0.00 | See FINRA Report |
| David Dixon Lewis | 1004661 | 12 | 03/05/2012 | Customer Dispute | Settled | $4,457,450.00 | $0.00 | See FINRA Report |
| David Dixon Lewis | 1004661 | 12 | 02/24/2012 | Customer Dispute | Settled | $5,000,000.00 | $0.00 | See FINRA Report |
| David Dixon Lewis | 1004661 | 12 | 01/18/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Dixon Lewis | 1004661 | 12 | 12/22/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Dixon Lewis | 1004661 | 12 | 09/09/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |