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FINRA Awards for Gerald J. Thain

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0238005/21/2018Claimant(s): Investacorp.
Claimant Lawyers(s): Michael A. Nagy
Respondent(s): Edward Klug
Respondent Lawyers(s): Edward Arthur Klug
Arbitrator(s): Barry Goldman, Ramona V. Larson, Gerald J. Thain
Hearing Site: Milwaukee, WI
12-0403301/30/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): David Thuli, Ellen Duhamel, Michael Shannon, Thomas Dornoff
Respondent Lawyers(s): David J. Hase
Arbitrator(s): Gerald J. Thain
Hearing Site: Milwaukee, WI

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