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FINRA Awards for Thomas C. Moxley

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0409712/07/2009Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Michael Wiginton
Respondent Lawyers(s): Michael W. Wiginton
Arbitrator(s): Thomas C. Moxley
Hearing Site: Birmingham, AL
07-0131502/15/2008Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Cooper
Respondent Lawyers(s): Thomas Stephen Cooper
Arbitrator(s): Richard L. Oates, Thomas C. Moxley, Richard Lee Matthews
Hearing Site: Nashville, TN

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