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FINRA Awards for Amy L. Wachs

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0028603/03/2015Claimant(s): Jon Arnold
Claimant Lawyers(s): Douglas R. Jennings
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): C. Robert Rittberger, Amy L. Wachs, Kevin Brodar
Hearing Site: Cleveland, OH
12-0407806/06/2013Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Beverly Jo Slaughter
Respondent(s): Richie Crockett
Respondent Lawyers(s): Richie Layne Crockett
Arbitrator(s): Amy L. Wachs
Hearing Site: Phoenix, AZ

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