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FINRA Awards for Lawrence E. Little

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0181111/01/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): John Monaghan
Respondent Lawyers(s): Al Van Kampen
Arbitrator(s): Lawrence E. Little
Hearing Site: Seattle, WA
08-0344409/23/2009Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Bruce Trang, Morgan Stanley & Co.
Respondent Lawyers(s): Peter M. Vial, Thomas V. Dulcich
Arbitrator(s): Thomas D. Loftus, Lawrence E. Little, Kay A. Johnson, CRCP
Hearing Site: Seattle, WA
07-0139512/19/2008Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): David Thomas
Respondent Lawyers(s): John A. Bender
Arbitrator(s): Michael R. Scott, Lawrence E. Little, Kay A. Johnson, CRCP
Hearing Site: Seattle, WA

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