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FINRA Awards for Waddell & Reed

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Displaying 21-30 out of 36 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0305603/28/2018Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay E. Wuller
Respondent(s): Leslie Slaughter
Respondent Lawyers(s): Leslie Ann Slaughter
Arbitrator(s): Gregory D. Hoffmann
Hearing Site: Columbia, SC
17-0318703/07/2018Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay Wuller
Respondent(s): Deborah Dodson
Respondent Lawyers(s): Deborah Jean Dodson
Arbitrator(s): Thomas R. Dreiling
Hearing Site: Seattle, WA
17-0127011/20/2017Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay E. Wuller
Respondent(s): Roberto Montano
Respondent Lawyers(s): Roberto Montano
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Chicago, IL
16-0269804/11/2017Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay Wuller
Respondent(s): Aaron Hollister
Respondent Lawyers(s): Aaron W. Hollister
Arbitrator(s): Michael J. Meeusen
Hearing Site: Detroit, MI
16-0085203/02/2017Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay E. Wuller
Respondent(s): Andrew Spivey
Respondent Lawyers(s): Andrew Gary Spivey
Arbitrator(s): Dean J. Dietrich, Ralph L. Jacobson, Rahul K. Surana
Hearing Site: San Francisco, CA
16-0163611/22/2016Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay E Wuller
Respondent(s): Raul Jacobs
Respondent Lawyers(s): Raul Enrique Jacobs
Arbitrator(s): William M. Getzoff
Hearing Site: Chicago, IL
15-0108608/23/2016Claimant(s): Waddell & Reed
Claimant Lawyers(s): Eric Martin
Respondent(s): J-Thaddeus McGaffey
Respondent Lawyers(s): J-Thaddeus Peter McGaffey
Arbitrator(s): Jack J. Mazzara, Patrick R. Sughroue, Charlene Johnson
Hearing Site: Detroit, MI
15-0164811/13/2015Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H. Li
Respondent(s): Quentin Robb
Respondent Lawyers(s): Quentin Leroy Robb
Arbitrator(s): Susan L. Walker
Hearing Site: Denver, CO
14-0355211/05/2015Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H. Li
Respondent(s): Ralph Goodman
Respondent Lawyers(s): Ralph Ustin Goodman
Arbitrator(s): David R. Foley
Hearing Site: Syracuse, NY
14-0316510/23/2015Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H Li
Respondent(s): Karen Kane
Respondent Lawyers(s): Karen Suzanne Kane
Arbitrator(s): Randall S. Strause
Hearing Site: Indianapolis, IN

36 Results

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