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FINRA Awards for U.S. Bancorp Investments.

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Displaying 31-40 out of 74 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0093501/08/2016Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Scott T. Earl
Respondent(s): James Rotter
Respondent Lawyers(s): James Thomas Rotter
Arbitrator(s): Thomas J. Ray
Hearing Site: St. Louis, MO
15-0093611/05/2015Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Scott T. Earl
Respondent(s): Eric Eversole
Respondent Lawyers(s): Eric Nathaniel Eversole
Arbitrator(s): Robert J. Scafuri
Hearing Site: Cincinnati, OH
15-0002807/31/2015Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Adam Pekor
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): W. Sean Kelleher
Hearing Site: Columbus, OH
14-0084605/26/2015Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Jonathan Sokolowski
Respondent(s): James Clay
Respondent Lawyers(s): James Randall Clay
Arbitrator(s): Hugh J. Moore, David T. Maddux, Arthur L. Tepper
Hearing Site: Nashville, TN
14-0284005/22/2015Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Shira Forman
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Thomas J. Ray
Hearing Site: St. Louis, MO
13-0321304/20/2015Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric Raphan
Respondent(s): Caroline Tennant
Respondent Lawyers(s): Avi J. Lipman
Arbitrator(s): Laurie E. Law, Lawrence E. Little, Judith Hill Henderson
Hearing Site: Seattle, WA
13-0363804/16/2015Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Shira Forman
Respondent(s): David Kosobucki
Respondent Lawyers(s): David Kosobucki
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
14-0083202/27/2015Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric R. Raphan
Respondent(s): Robert Chan
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Elliott David Finkel, Theresa Y. Hu, Richard A. Stephens
Hearing Site: Los Angeles, CA
13-0195602/12/2015Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Kevin Cloutier
Respondent(s): Ritchey Wetzel
Respondent Lawyers(s): Ritchey Wetzel
Arbitrator(s): Albert J. Haller
Hearing Site: Kansas City, MO
13-0322802/06/2015Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric Raphan
Respondent(s): Christopher Wilkinson
Respondent Lawyers(s): Brennan H. Moss
Arbitrator(s): Langdon T. Owen, Gene R. Thornton, A. O. Headman
Hearing Site: Salt Lake City, UT

74 Results

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