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FINRA Awards for Lawton R. Graves

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Displaying 7 out of 7 results
Case Number Award Date Case Summary Customer Case? Amount Granted
24-0023609/26/2024Claimant(s): Rudolf Molnar
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Kausmeier
Arbitrator(s): Nancy J. Cliff, Anna M. Fanelli, Grant D. Sanders
Hearing Site: Tampa, FL
24-0024907/15/2024Claimant(s): Kevin Houser
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): LPL Financial LLC, Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier, Jon D. Kaplon
Arbitrator(s): Nancy E. Watters, Daniel James Kortum, Mark A Bilawsky
Hearing Site: Philadelphia, PA
23-0319804/24/2024Claimant(s): Dean Donohue
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Douglas M. Branson, J.G. Long, Shawn Ridgell
Hearing Site: Louisville, KY
23-0196303/01/2024Claimant(s): Rudolf Molnar
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard S. Zaifert, David M. Snyder, Lisa Elkin Schwartz
Hearing Site: Tampa, FL
22-0139512/02/2022Claimant(s): Samuel Head
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Harvey R. Linder, Christopher Cecil Lamb, Larry Kenneth Lott
Hearing Site: Columbia, SC
17-0348907/09/2018Claimant(s): Adil Ali
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Mark Wowk
Respondent Lawyers(s): Mark Wowk
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
17-0093709/19/2017Claimant(s): Ronald Oldano
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Tamara Powers
Respondent Lawyers(s): Tamara Powers
Arbitrator(s): Edith N. Dinneen
Hearing Site: Tampa, FL
Expungement

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