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FINRA Awards for Gregg Whelan

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Case Number Award Date Case Summary Customer Case? Amount Granted
24-0080310/24/2024Claimant(s): D.A. Davidson & Co.
Claimant Lawyers(s): Nancy L Hendrickson
Respondent(s): Gregg Whelan
Respondent Lawyers(s): Austin Davis
Arbitrator(s): Robert D. Sussin, Jeffrey L. Malek, Anna Marie Turco
Hearing Site: Los Angeles, CA
10-0114705/17/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Gregg Whelan
Respondent Lawyers(s): Gregg Whelan
Arbitrator(s): Martin Perlberger
Hearing Site: Los Angeles, CA

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