FINRA Awards for Thomas R. Carlsen

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
13-01863	11/14/2014	Claimant(s): Barry Toole Claimant Lawyers(s): Kristian P. Kraszewski Respondent(s): LPL Financial LLC Respondent Lawyers(s): Neil S. Baritz Arbitrator(s): William F. Glaser, Thomas R. Carlsen, Shannon Nicole Boyd Hearing Site: Tampa, FL
12-00084	11/22/2013	Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Janelle E. Fulton Respondent(s): Patrick Bray Respondent Lawyers(s): W. Nelson Kirkland Arbitrator(s): Thomas R. Carlsen, Kathryn M. Welsh, Terry L. Kors Hearing Site: Tampa, FL
10-00888	03/07/2012	Claimant(s): William Schumacher Claimant Lawyers(s): John R. Kiefner Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Tracy L. Gerber Arbitrator(s): Patricia Gunn, Thomas R. Carlsen, Dennis R. Sullivan Hearing Site: Tampa, FL
09-04530	03/21/2011	Claimant(s): Morgan Stanley Claimant Lawyers(s): Todd Ratner Respondent(s): Shane Wheeler Respondent Lawyers(s): Shane Wheeler Arbitrator(s): John P. Cullem, Thomas R. Carlsen, Michael S. Hill Hearing Site: Tampa, FL