BRIAN ANTHONY FLEMING

BRIAN ANTHONY FLEMING is currently employed as a Broker and/or Investment Adviser at JANNEY MONTGOMERY SCOTT LLC located at 150 RADNOR-CHESTER ROAD, SUITE B100, RADNOR, PA, 19087.

BRIAN ANTHONY FLEMING has worked at JANNEY MONTGOMERY SCOTT LLC since April 23, 2009

Disclosure History

BRIAN ANTHONY FLEMING has 2 Disclosure Event(s).

Date: April 17, 2009
Category: Customer Dispute
Allegations: CLIENT ALLEGED UNAUTHORIZED TRADING - 10/2008. DAMAGES UNSPECIFIED.
Broker Comment: CLAIM DENIED.

Date: May 21, 2003
Category: Customer Dispute
Allegations: CLIENT ALLEGES MISREPRESENTATION OF AN EQUITY SECURITY
Damage Amount Requested: $18,000.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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