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FINRA Awards for Bruce Swartout

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Case Number Award Date Case Summary Customer Case? Amount Granted
22-0183905/09/2023Claimant(s): Ronald Kuhn
Claimant Lawyers(s): Jessica E. Levine
Respondent(s): VSR Financial Services.
Respondent Lawyers(s): David Smitham
Arbitrator(s): Peter H. Daly, Arocles Aguilar, Bruce Swartout
Hearing Site: Honolulu, HI
14-0030612/02/2015Claimant(s): Robert Ritter
Claimant Lawyers(s): Peter A. Cantwell
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Benjamin W. White
Arbitrator(s): Michael G. Clark, Dean J. Dietrich, Bruce Swartout
Hearing Site: San Francisco, CA

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