FINRA Awards for Douglas J. Nesbit

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Displaying 6 out of 6 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
20-03370	01/14/2022	Claimant(s): Larry Krmpotich Claimant Lawyers(s): Thomas J. Momjian Respondent(s): Stifel, Nicolaus & Co.. Respondent Lawyers(s): Amy L. Blaisdell Arbitrator(s): Douglas J. Nesbit, John M. James, David Ernest Krause Hearing Site: Minneapolis, MN
18-03256	10/15/2019	Claimant(s): Feltl & Company Claimant Lawyers(s): Debra L. Weiss Respondent(s): Robert Long Respondent Lawyers(s): Jared M. Goerlitz Arbitrator(s): Douglas J. Nesbit, William Benjamin Gavzy, Michael Anthony Pysno Hearing Site: Minneapolis, MN
18-01200	09/28/2018	Claimant(s): John Degelmann Claimant Lawyers(s): Elizabeth Ridley Respondent(s): Prudential Investment Management Service Respondent Lawyers(s): Alan S. Brodherson Arbitrator(s): Douglas J. Nesbit Hearing Site: Minneapolis, MN
16-03007	12/15/2017	Claimant(s): John Pitz Claimant Lawyers(s): Christopher D. Pham Respondent(s): Vestax Securities Corporation Respondent Lawyers(s): David G. Smitham Arbitrator(s): Douglas J. Nesbit Hearing Site: Minneapolis, MN
13-02892	12/06/2016	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Patrick G. King Respondent(s): Christopher Johnson, Randall Johnson Respondent Lawyers(s): Steven M. Phillips Arbitrator(s): Robert E. Robertson, Emily B. Boote, Douglas J. Nesbit Hearing Site: Minneapolis, MN
12-01128	04/03/2013	Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Claimant Lawyers(s): Rachael Carp Respondent(s): Amy Notermann Respondent Lawyers(s): Amy Notermann Arbitrator(s): Douglas J. Nesbit Hearing Site: Minneapolis, MN