BRIAN LEONARD FINNERTY is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 27 TOWNE DRIVE, SUITE 202, BLUFFTON, SC, 29910.
BRIAN LEONARD FINNERTY has worked at RAYMOND JAMES & ASSOCIATES, INC. since September 15, 2006
Disclosure History
BRIAN LEONARD FINNERTY has 1 Disclosure Event(s).
Date: January 17, 1994 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT BECAUSE MR. FINNERTYFAILED TO FOLLOW HER SPECIFIC INSTRUCTIONS REGARDING THE SALEOF 50,000 SHARES OF EISI, MR. FINNERTY AND UNTERBERG HARRIS WASLIABLE TO HER FOR APPROXIMATELY $100,000 Damage Amount Requested: $100,000.00 Damages Granted: $19,682.81 Broker Comment: MR. FINNERTY AND UNTERBERG HARRIS ARE JOINTLYAND SEVERALLY LIABLE AND SHALL PAY TO CUSTOMER THE SUM OF$19,682.81NOT PROVIDED
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