FINRA Awards for William D. Nelson

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Displaying 5 out of 5 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
21-01299	09/15/2022	Claimant(s): Mark Creason Claimant Lawyers(s): Lisanne M. Butterfield Respondent(s): Colorado Financial Service Corporation Respondent Lawyers(s): William D. Nelson Arbitrator(s): Jan Glenn Valecka, Thomas W. Allen, Ross B. Russell Hearing Site: Dallas, TX
09-05196	11/19/2010	Claimant(s): Morgan Stanley Claimant Lawyers(s): John Lutz Respondent(s): George Garro, Jon Metzger, SMH Capital Inc. Respondent Lawyers(s): William D. Nelson Arbitrator(s): Larry D. Hayden, Luis D. Rovira, David L. Erickson Hearing Site: Denver, CO
10-00080	11/15/2010	Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Michael T. Roche Respondent(s): James Dowley Respondent Lawyers(s): William D. Nelson Arbitrator(s): Maureen Beyers Hearing Site: Denver, CO
08-04581	05/28/2009	Claimant(s): Stewart Mcfadden Claimant Lawyers(s): Stewart McFadden Respondent(s): U.S. Bancorp Investments. Respondent Lawyers(s): William D. Nelson Arbitrator(s): William F. Skewes Hearing Site: Denver, CO
07-03519	05/23/2008	Claimant(s): Marc. Saunders, Terri Saunders Claimant Lawyers(s): Kenneth B. Siegel Respondent(s): Wachovia Securities Respondent Lawyers(s): William D. Nelson Arbitrator(s): Susan M. Thevenet, Steven Meyrich, Martha Jeanne Wilcoxson Hearing Site: Denver, CO