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FINRA Awards for John Andrew Wagner

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0179609/11/2017Claimant(s): Jason Woodruff
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Conni Mcewen, Erin Shaw, J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Robert David Epstein, John Andrew Wagner, William Joseph Caprathe
Hearing Site: Indianapolis, IN
15-0180202/01/2016Claimant(s): Douglas Purdy
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): Securities America.
Respondent Lawyers(s): Natalie Blanke
Arbitrator(s): Peter Ordower, Michael Charles Peek, John Andrew Wagner
Hearing Site: Indianapolis, IN
11-0050110/19/2012Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Nicoli Grove
Respondent Lawyers(s): Kathleen A. DeLaney
Arbitrator(s): Joseph L. Claypool, Emily J. Lewis, John Andrew Wagner
Hearing Site: Indianapolis, IN

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