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FINRA Awards for Frances P. Kao

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0047105/11/2022Claimant(s): McHenry Savings Bank
Claimant Lawyers(s): Maria L. Kreiter
Respondent(s): Cambridge Investment Research., Vickie Benedetti, Cambridge Investment Research Advisors
Respondent Lawyers(s): Richard H. Kuhlman, Vickie Lynn Benedetti
Arbitrator(s): Daniel R. Formeller, Frances P. Kao, Cynthia Ross Polayes
Hearing Site: Chicago, IL
17-0153306/05/2018Claimant(s): James Piff
Claimant Lawyers(s): Michael Davis
Respondent(s): John Clarke, Kevin Gillespie, Midtown Partners
Respondent Lawyers(s): Saul Roffe
Arbitrator(s): James J. Stamos, David J. Dahl, Frances P. Kao
Hearing Site: Chicago, IL

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