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FINRA Awards for Advisors Asset Management.

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0134904/11/2024Claimant(s): Peter Armstrong
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Advisors Asset Management.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Jim Geiger
Hearing Site: Columbus, OH
13-0221307/25/2017Claimant(s): Ervin Pilku
Claimant Lawyers(s): James P. Gianakis
Respondent(s): Eric Salzman, Advisors Asset Management.
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Susan C. Lushing, Joel C. Keilson, Mark Jeffrey Snyder
Hearing Site: New York, NY

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