FINRA Awards for Thomas C. Wagner

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
13-03660	05/15/2014	Claimant(s): U.S. Bancorp Investments. Claimant Lawyers(s): Jonathan Sokolowski Respondent(s): Patrick Sullivan Respondent Lawyers(s): Patrick Joseph Sullivan Arbitrator(s): Thomas C. Wagner Hearing Site: Cincinnati, OH
11-01899	02/09/2012	Claimant(s): LPL Financial LLC Claimant Lawyers(s): Jeffrey Compton Respondent(s): John Newkirk Respondent Lawyers(s): John Marcus Newkirk Arbitrator(s): Thomas C. Wagner Hearing Site: Cincinnati, OH
10-01781	07/01/2010	Claimant(s): Fidelity Brokerage Services LLC, FMR LLC Claimant Lawyers(s): Jennifer A. Kenedy Respondent(s): Andrew Hermes, Steven O'connor, William Doepker Respondent Lawyers(s): Grant S. Cowan Arbitrator(s): Thomas C. Wagner, Emily J. Lewis, Miles D. Hart Hearing Site: Cincinnati, OH
07-02012	02/27/2009	Claimant(s): AmTrust Investment Services. Claimant Lawyers(s): Max E. Dehn Respondent(s): David Kopsak, Jonathan Mesok, Robbin Guy, Charter One Financial., Charter One Investment Services Respondent Lawyers(s): Wm. Joseph Baker Arbitrator(s): Thomas C. Wagner, Sanford Heiser, Robert P. Weisberger Hearing Site: Cleveland, OH