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FINRA Awards for Alex H. Keller

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Displaying 8 out of 8 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0417011/29/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex Komoroski
Respondent(s): Jeffery Thomas
Respondent Lawyers(s): Jeffery Dwayne Thomas
Arbitrator(s): Alex H. Keller
Hearing Site: Charleston, WV
12-0124206/05/2013Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Walter Russell
Respondent Lawyers(s): David J. Hase
Arbitrator(s): Alex H. Keller
Hearing Site: Columbus, OH
11-0268109/14/2012Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): William French III
Respondent Lawyers(s): William Henry French III
Arbitrator(s): Alex H. Keller
Hearing Site: Charleston, WV
11-0434405/15/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Archie Capinguian
Respondent(s): Jonathan Brimley
Respondent Lawyers(s): Dennis M. Fitzgerald
Arbitrator(s): Alex H. Keller
Hearing Site: Columbus, OH
11-0130310/17/2011Claimant(s): John Williams
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): Deborah Tucker, Kenneth Tucker
Respondent Lawyers(s): Stephen Meyer
Arbitrator(s): Thomas R. Skulina, Alex H. Keller, Harvey Michael Rosenberg
Hearing Site: Charleston, WV
Expungement
09-0518804/08/2010Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Jeffery Westerman
Respondent Lawyers(s): Jeffery Luke Westerman
Arbitrator(s): Robert P. Fogarty, Alex H. Keller, Dale A. Crawford
Hearing Site: Columbus, OH
08-0212907/20/2009Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Kevin Leet
Respondent Lawyers(s): Brigid O. Gies
Arbitrator(s): John C. Schenkenfelder, Amelia F. Adams, Alex H. Keller
Hearing Site: Louisville, KY
08-0288106/30/2009Claimant(s): Carlos Reisen
Claimant Lawyers(s): William A. Healy
Respondent(s): J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Philip C. Johnston, Alex H. Keller, Marilyn R. Rathbun
Hearing Site: Cincinnati, OH

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