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FINRA Awards for Keith L. Griffin

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0288408/10/2017Claimant(s): Peter Klein
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Rothschild Investment Corporation
Respondent Lawyers(s): James B. Koch
Arbitrator(s): Joseph V. Simeri
Hearing Site: Chicago, IL
10-0064906/25/2012Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Eric Robinson
Respondent Lawyers(s): Keith L. Griffin
Arbitrator(s): Peter Ordower, Mark E. Larson, Gerald Joseph Aleksy
Hearing Site: Chicago, IL

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