FINRA Awards for Thomas C. Tretter

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Displaying 6 out of 6 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
20-03662	12/07/2021	Claimant(s): Lowell Hart Claimant Lawyers(s): John A. Mangones Respondent(s): State Farm VP Management Corp. Respondent Lawyers(s): Tracey Salmon-Smith Arbitrator(s): Thomas C. Tretter, William Norton, Peter Andrew Marx Hearing Site: Manchester, NH
20-02511	04/13/2021	Claimant(s): Beverly Ketel Claimant Lawyers(s): Beverly Marie Ketel Respondent(s): Citizens Securities. Respondent Lawyers(s): Geoffrey W. Millsom Arbitrator(s): Thomas C. Tretter, Linda J. Baer, Edward W. Morris Hearing Site: Manchester, NH
16-03090	10/31/2017	Claimant(s): Allen Waters Claimant Lawyers(s): Allen Rodney Waters Respondent(s): TIAA-CREF Individual & Institutional Ser Respondent Lawyers(s): Cora E. MacLean Arbitrator(s): Thomas C. Tretter, Andrea J. Goldman, James R. Collins Hearing Site: Boston, MA
15-00419	12/02/2015	Claimant(s): Gary Breda Claimant Lawyers(s): Megan Christensen Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): J. Burke McCormick Arbitrator(s): Thomas C. Tretter, Joseph Peter Colonna, Phillip Alden Hofling Hearing Site: Boston, MA
13-01253	09/24/2015	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Kenneth O'Connor Respondent(s): Hilary O'Malley Respondent Lawyers(s): Hilary O'Malley Arbitrator(s): Thomas C. Tretter Hearing Site: Boston, MA
14-03553	06/02/2015	Claimant(s): Waddell & Reed Claimant Lawyers(s): Carol H. Li Respondent(s): Jeffrey Wesson Respondent Lawyers(s): Jeffrey Leo Wesson Arbitrator(s): Thomas C. Tretter Hearing Site: Manchester, NH