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FINRA Awards for Kelly R. Davis

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Displaying 10 out of 10 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0423009/19/2013Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Sean Kelly
Respondent Lawyers(s): Sean J. Kelly
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
12-0422908/19/2013Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Joshua Parke
Respondent Lawyers(s): Joshua Adam Parke
Arbitrator(s): Thomas R. Dreiling
Hearing Site: Seattle, WA
11-0396206/12/2012Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Kenneth Miller
Respondent Lawyers(s): Emile Joseph
Arbitrator(s): Leonard J. Sullivan
Hearing Site: New Orleans, LA
11-0002401/26/2012Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Scot Barringer
Respondent Lawyers(s): Scot Barringer
Arbitrator(s): Robert S. McConnell
Hearing Site: Denver, CO
11-0091210/17/2011Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Ronald Kambic
Respondent Lawyers(s): Ronald John Kambic
Arbitrator(s): R. Phillip Reed
Hearing Site: Omaha, NE
11-0009608/26/2011Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Richard Yantis
Respondent Lawyers(s): Eric W. Johnson
Arbitrator(s): Robert S. Burk
Hearing Site: Des Moines, IA
10-0484308/03/2011Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Tracey Frank
Respondent Lawyers(s): Richard F. Bednarski
Arbitrator(s): Jess B. Cohen
Hearing Site: Denver, CO
10-0484406/08/2011Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Sean O'Brien
Respondent Lawyers(s): Sean M. O'Brien
Arbitrator(s): Evalyn Lipton Fishbein
Hearing Site: Boston, MA
10-0188911/02/2010Claimant(s): Andrew Wasa, Henry Ferry
Claimant Lawyers(s): Pamela D. Ferry
Respondent(s): Securities America., Sandra Snyder
Respondent Lawyers(s): Kelly R. Davis
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
09-0668207/07/2010Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Kenneth Osborn
Respondent Lawyers(s): Kenneth Vernond Osborn
Arbitrator(s): Thanayi J. Lindsey
Hearing Site: Los Angeles, CA

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