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FINRA Awards for Leonard Arthur Nelson

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Displaying 11-17 out of 17 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0346903/04/2020Claimant(s): AXA Advisors, AXA Network
Claimant Lawyers(s): Raha Assadi
Respondent(s): Scott McVicker
Respondent Lawyers(s): Scott Evans McVicker
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Denver, CO
18-0366109/09/2019Claimant(s): Bartlomiej Szkutnicki
Claimant Lawyers(s): James A. Klimek
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Leonard Arthur Nelson, Richard A Young, Sharlee Cole Little
Hearing Site: Indianapolis, IN
18-0312303/20/2019Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay Wuller
Respondent(s): Keir Harner
Respondent Lawyers(s): Keir Dane Harner
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Omaha, NE
17-0125206/05/2018Claimant(s): John Borne
Claimant Lawyers(s): Israel Klein
Respondent(s): GWFS Equities.
Respondent Lawyers(s): Holly Stein Sollod
Arbitrator(s): Patricia M. Bottoms, Leonard Arthur Nelson, Leonard M. Goldstein
Hearing Site: Denver, CO
17-0253903/16/2018Claimant(s): Norman Schlismann
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Mesirow Financial.
Respondent Lawyers(s): Jeffrey Levine
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Chicago, IL
17-0127011/20/2017Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay E. Wuller
Respondent(s): Roberto Montano
Respondent Lawyers(s): Roberto Montano
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Chicago, IL
12-0310212/06/2013Claimant(s): Michael Pall
Claimant Lawyers(s): Nancy L. Hendrickson
Respondent(s): David A. Noyes & Company
Respondent Lawyers(s): Carrie A. Durkin
Arbitrator(s): Thomas F. Ryan, Leonard Arthur Nelson
Hearing Site: Chicago, IL

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