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FINRA Awards for William Joseph Caprathe

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0049008/16/2018Claimant(s): HD Vest Investment Services
Claimant Lawyers(s): Paul S. Magy
Respondent(s): Brian Royster
Respondent Lawyers(s): Brian Lamont Royster
Arbitrator(s): William Joseph Caprathe
Hearing Site: Detroit, MI
16-0223309/22/2017Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Robert Anderson
Respondent Lawyers(s): Robert Anderson
Arbitrator(s): Sheldon Weinhaus, William Joseph Caprathe, John Anthony Tatom
Hearing Site: St. Louis, MO
16-0179609/11/2017Claimant(s): Jason Woodruff
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Conni Mcewen, Erin Shaw, J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Robert David Epstein, John Andrew Wagner, William Joseph Caprathe
Hearing Site: Indianapolis, IN

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