FINRA Awards for Walter Steven Schwartz

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Displaying 21-25 out of 25 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
18-02514	03/01/2019	Claimant(s): Orion Willis Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Invest Financial Corporation, Centaurus Financial. Respondent Lawyers(s): Michael Leahy, Scott R. Forbush Arbitrator(s): Walter Steven Schwartz Hearing Site: Phoenix, AZ
18-02712	02/25/2019	Claimant(s): Bert Cooper Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Raymond James Financial Services., WFG Investments. Respondent Lawyers(s): Davis Williams, Stanton A. Fears Arbitrator(s): Walter Steven Schwartz Hearing Site: Phoenix, AZ
17-03506	09/19/2018	Claimant(s): Michael Butt Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Piper Jaffray & Co. Respondent Lawyers(s): Ann C. McCague Arbitrator(s): Walter Steven Schwartz Hearing Site: Phoenix, AZ
16-02837	08/25/2017	Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Michael S. Taaffe Respondent(s): Charles Davis Respondent Lawyers(s): Charles Whitman Davis Arbitrator(s): Walter Steven Schwartz Hearing Site: Phoenix, AZ
16-00840	07/28/2017	Claimant(s): William Lane Claimant Lawyers(s): William James Lane Respondent(s): George Romano, Mark Quinzi, Farmers Financial Solutions. Respondent Lawyers(s): Christopher S. Maile, Richard C. Moore Arbitrator(s): Jerry L. Riggins, Steven M. Guttell, Walter Steven Schwartz Hearing Site: Phoenix, AZ