FINRA Awards for John R. Kiefner

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Displaying 6 out of 6 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
12-03976	10/02/2014	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Craig D. Stein Respondent(s): Daniel Curkan Respondent Lawyers(s): John R. Kiefner Arbitrator(s): Colleen Grace, Sharon Lee Chernin, Richard Kennard Hurley Hearing Site: Tampa, FL
12-00053	10/18/2013	Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): John Michael Riordan Respondent(s): Brett Stickney Respondent Lawyers(s): John R. Kiefner Arbitrator(s): Louis H. Miron, Frank E. Wolf, Jacqueline Marie Pierre Hearing Site: Montpelier, VT
11-03486	10/25/2012	Claimant(s): Morgan Stanley & Co. Claimant Lawyers(s): Todd Ratner Respondent(s): Kenneth Klespies Respondent Lawyers(s): John R. Kiefner Arbitrator(s): Ronald H. Walton, Edith N. Dinneen, Marilyn K. Dirks Hearing Site: Tampa, FL
10-00888	03/07/2012	Claimant(s): William Schumacher Claimant Lawyers(s): John R. Kiefner Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Tracy L. Gerber Arbitrator(s): Patricia Gunn, Thomas R. Carlsen, Dennis R. Sullivan Hearing Site: Tampa, FL
06-05081	04/24/2008	Claimant(s): David Ossenmacher Claimant Lawyers(s): John R. Kiefner Respondent(s): A.G. Edwards & Sons. Respondent Lawyers(s): Nancy Anderson Tayborn Arbitrator(s): Nicholas G. Dukas, Elizabeth A. Townes, Karl A. Vogeler Hearing Site: Tampa, FL
06-00654	08/23/2007	Claimant(s): Steven Heller Claimant Lawyers(s): John R. Kiefner Respondent(s): Intersecurities. Respondent Lawyers(s): Katherine C. Lake Arbitrator(s): John P. Cullem, Patrick D. King, Gail E. Sasnett-Stauffer Hearing Site: Tampa, FL