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FINRA Awards for Ronald P. Wertheim

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Displaying 4 out of 4 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0159112/15/2015Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Joseph Rizzo
Respondent Lawyers(s): Kevin C. Console
Arbitrator(s): Ronald P. Wertheim
Hearing Site: Philadelphia, PA
12-0421707/11/2013Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Courtney M. Rogers-Reid
Respondent(s): Andrew Woolf
Respondent Lawyers(s): A. Wilson Woolf
Arbitrator(s): Ronald P. Wertheim
Hearing Site: Philadelphia, PA
10-0287107/06/2011Claimant(s): Greg Kipple
Claimant Lawyers(s): Todd Gutfleisch
Respondent(s): Wachovia Securities, Wells Fargo Advisors
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Alan J. Blocher, Ronald P. Wertheim, Jason Thomas Laird
Hearing Site: Philadelphia, PA
10-0118403/11/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen Burns
Respondent(s): Justin Silberman
Respondent Lawyers(s): William Ray Ford
Arbitrator(s): Ronald P. Wertheim
Hearing Site: Washington, DC

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