FINRA Awards for Nations Financial Group.

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
17-02992	11/05/2018	Claimant(s): Bruce Allen Claimant Lawyers(s): Russell D. Duncan Respondent(s): Nations Financial Group. Respondent Lawyers(s): William T. McCartan Arbitrator(s): Mary C. Davis, Leonard M. Goldstein, Margaret Ann Barrington Hearing Site: Denver, CO
10-00329	12/07/2012	Claimant(s): Nations Financial Group. Claimant Lawyers(s): William T McCartan Respondent(s): Bruce Guarino, Clifford Morgan Respondent Lawyers(s): Clifford Todd Morgan, Robert M. Bursky Arbitrator(s): Clarence Smith Hearing Site: New York, NY