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FINRA Awards for James Conrad Riewerts

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0151607/19/2011Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Ronald Blevins
Respondent Lawyers(s): Ronald Todd Blevins
Arbitrator(s): Robert E. Thompson, Mark R. Topper, James Conrad Riewerts
Hearing Site: San Francisco, CA
09-0040804/23/2010Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Julianne L. Peck
Respondent(s): Xin Li
Respondent Lawyers(s): Albert L. Boasberg
Arbitrator(s): John Patrick Kelly, John J. Fitzpatrick, James Conrad Riewerts
Hearing Site: San Francisco, CA
07-0114503/10/2008Claimant(s): David Castillo
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Harry B. Endsley, James Conrad Riewerts, Susan J. Alexander
Hearing Site: San Francisco, CA

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