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FINRA Awards for 1st Global.

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0286806/06/2014Claimant(s): Gregory Barker
Claimant Lawyers(s): John Balitis
Respondent(s): 1st Global.
Respondent Lawyers(s): Stephanie P. Berntsen
Arbitrator(s): O. Meredith Wilson, Michael John Scott, Trent Thomas Whitford
Hearing Site: Portland, OR
08-0416307/13/2010Claimant(s): Sandra Kobel
Claimant Lawyers(s): Robert Ruotolo
Respondent(s): Cessford Prentice, 1st Global Advisors., 1st Global Capital Corp., 1st Global Insurance Services., 1st Global Retirement Services., 1st Global.
Respondent Lawyers(s): William N. Radford
Arbitrator(s): Daniel A. Kile, Martha Z. Ralstin, Charles Lynn Schmidt
Hearing Site: Dallas, TX

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