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FINRA Awards for Waddell & Reed

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Displaying 31-36 out of 36 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0317009/01/2015Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H. Li
Respondent(s): Elizabeth Smith
Respondent Lawyers(s): Elizabeth Smith
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
14-0211206/25/2015Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol Li
Respondent(s): David Pennington
Respondent Lawyers(s): David Steele Pennington
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Louisville, KY
14-0355306/02/2015Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H. Li
Respondent(s): Jeffrey Wesson
Respondent Lawyers(s): Jeffrey Leo Wesson
Arbitrator(s): Thomas C. Tretter
Hearing Site: Manchester, NH
14-0210502/23/2015Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol Li
Respondent(s): Rey Deborja
Respondent Lawyers(s): Rey Dante Deborja
Arbitrator(s): Thomas C. McNally
Hearing Site: San Francisco, CA
13-0324704/03/2014Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H. Li
Respondent(s): Robert Matarazzo
Respondent Lawyers(s): Robert John Matarazzo
Arbitrator(s): Frank Brenner
Hearing Site: Tampa, FL
07-0240407/16/2008Claimant(s): Waddell & Reed
Claimant Lawyers(s): Matthew R. Stammel
Respondent(s): A. Waddell
Respondent Lawyers(s): James A. Batson
Arbitrator(s): Bonnie K. Wachtel, Gerald Charnoff, Barbara B. Franklin
Hearing Site: Washington, DC

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