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FINRA Awards for William Herf

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0266906/03/2021Claimant(s): William Herf
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Paul Klein
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
20-0266305/05/2021Claimant(s): William Herf
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): B. C. Ziegler And Company
Respondent Lawyers(s): Jon Hackbarth
Arbitrator(s): Merton E. Marks
Hearing Site: Phoenix, AZ

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