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FINRA Awards for David Brooks

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Case Number Award Date Case Summary Customer Case? Amount Granted
22-0055901/31/2023Claimant(s): David Brooks
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cardinal Investments.
Respondent Lawyers(s): Timothy C. Stubblefield
Arbitrator(s): James M. Stern
Hearing Site: St. Louis, MO
22-0075501/26/2023Claimant(s): David Brooks
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities Service Network
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Philip J. Glick
Hearing Site: St. Louis, MO

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