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FINRA Awards for Fred B. Monroe

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0262705/09/2022Claimant(s): Gregory Swindall
Claimant Lawyers(s): Fred B. Monroe
Respondent(s): W&S Brokerage Services.
Respondent Lawyers(s): Nicholas A. Charles
Arbitrator(s): Patricia H. Latham, James Howell Garrison, Norman Lee Gunn
Hearing Site: Charlotte, NC
08-0383412/10/2009Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Bradley Stipp
Respondent Lawyers(s): Fred B. Monroe
Arbitrator(s): Charles Glass Smith, Barry M. Cheren, Kenneth B. Orenbach
Hearing Site: Charlotte, NC

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