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FINRA Awards for David F. Simon

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0101503/08/2018Claimant(s): AllianceBernstein L.P.
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Robert Ziegler
Respondent Lawyers(s): Louis M. Lagalante
Arbitrator(s): David F. Simon
Hearing Site: Charlotte, NC
08-0427404/19/2010Claimant(s): Joshua Lowe
Claimant Lawyers(s): Ryon M. McCabe
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): D. Daxton White
Arbitrator(s): Horace A. Andrews, David F. Simon, Dennis R. Sullivan
Hearing Site: Tampa, FL

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