FINRA Awards for David Freeman

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Displaying 3 out of 3 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
14-01728	04/02/2015	Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Audette P Morales Respondent(s): John l. Norris Rollover, Vivianne Norris IRA Rollover, John L. Norris and Vivianne Norris JT TE Respondent Lawyers(s): Thomas F. Shine Arbitrator(s): Coleman Robert Perry, C. Sumpter Logan, David Freeman Hearing Site: Birmingham, AL		Expungement
12-01483	12/19/2012	Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Audette Paul Morales Respondent(s): Big Swell f/k/a Tovar., Nathan Phillip Friedlander SEP-IRA, Nathan & Joan Friedlander Joint Tenant, Harris Friedland Trust dd 7/25/1989 Respondent Lawyers(s): Thomas F. Shine Arbitrator(s): C. Sumpter Logan, David Freeman Hearing Site: Birmingham, AL		Expungement
11-03906	12/10/2012	Claimant(s): AXA Advisors Claimant Lawyers(s): Kenneth O'Connor Respondent(s): Ronny Powell Respondent Lawyers(s): Ronny W. Powell Arbitrator(s): Marshal H. Emerson, John F. O'Neill, David Freeman Hearing Site: Birmingham, AL