DAVID BARRETT BERMAN is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 444 SOUTH FLOWER STREET, SUITE 3870, LOS ANGELES, CA, 90071.
DAVID BARRETT BERMAN has worked at RAYMOND JAMES & ASSOCIATES, INC. since September 15, 2014
Disclosure History
DAVID BARRETT BERMAN has 2 Disclosure Event(s).
Date: February 23, 2011 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT FA SOLD MUNICIPAL BONDS WITHOUT HIS AUTHORIZATION. Damage Amount Requested: $9,600.00
Date: December 29, 1992 Category: Customer Dispute Allegations: BREACH OF FIDUCIARY, CHURNING, NEGLIGENCE,FAILURE TO EXECUTE ALLEGED $2,000,000 CLAIM. Damage Amount Requested: $100,000.00 Settlement Amount: $13,000.00 Broker Comment: CLOSED SETTLED $13,000 TO AVOID COST OFARBITRATION ON WEST COASTNOT PROVIDED
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