FINRA Awards for Amanda C. Hawley

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
12-03726	10/10/2013	Claimant(s): Jon Arnold Claimant Lawyers(s): Dennis J. Concilla Respondent(s): LPL Financial LLC Respondent Lawyers(s): Amanda C. Hawley Arbitrator(s): Jeffrey M. Bain, Charles D. Underwood, John B. Glueckert Hearing Site: Columbus, OH
10-05182	12/19/2012	Claimant(s): Elizabeth Keen Claimant Lawyers(s): Joseph R. Soraghan Respondent(s): LPL Financial LLC, Transamerica Financial Advisors Respondent Lawyers(s): Amanda C. Hawley, James F. Koehler Arbitrator(s): Keith E. Mattern, John R. Loss, Donald W. Moriarty Hearing Site: St. Louis, MO		Expungement
10-04235	11/14/2011	Claimant(s): Catherine Pinkas Claimant Lawyers(s): John Fu Respondent(s): LPL Financial LLC Respondent Lawyers(s): Amanda C. Hawley Arbitrator(s): Frank R Weaver, Dean J. Dietrich, Bradley C. Mitchell Hearing Site: San Francisco, CA
09-05512	07/13/2010	Claimant(s): Edgar Baker, Louise Baker Claimant Lawyers(s): John B. Dempsey Respondent(s): LPL Financial LLC, Mark Renzini, Virginia Traver, Comm Financial Services, Community Bank & Trust Respondent Lawyers(s): Amanda C. Hawley Arbitrator(s): Elizabeth A. McKinney, E. William Pastor, Paul J. Greco Hearing Site: Philadelphia, PA