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FINRA Awards for Richard D. Brady

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0222407/18/2011Claimant(s): Wamu Investments.
Claimant Lawyers(s): Christopher B. Wells
Respondent(s): Dag Olov Brandfors, Joshua Hummel, Teresa Herrick
Respondent Lawyers(s): Richard Brady
Arbitrator(s): David W. Evans, Carl J. Carlson, Charles M. Ackerman
Hearing Site: Seattle, WA
08-0080109/15/2009Claimant(s): National Alliance Capital
Claimant Lawyers(s): John F. Redwine
Respondent(s): Stephen Jencks
Respondent Lawyers(s): Stephen Jencks
Arbitrator(s): Peter G. Walker, Richard D. Brady, Kim D. Stephens
Hearing Site: Seattle, WA

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