FINRA Awards for Donald B. Vaden

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Displaying 7 out of 7 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
18-01499	11/19/2018	Claimant(s): John Karaffa Claimant Lawyers(s): John Karaffa Respondent(s): Capital Guardian Respondent Lawyers(s): Sandro L. Ramos Arbitrator(s): Donald B. Vaden Hearing Site: Richmond, VA
15-00588	08/12/2015	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Demian J. Betz Respondent(s): Brian Peters Respondent Lawyers(s): Brian David Peters Arbitrator(s): Donald B. Vaden Hearing Site: Charlotte, NC
10-04155	07/18/2012	Claimant(s): Morgan Stanley Claimant Lawyers(s): Diane C. Fisher Respondent(s): Alan Hollingsworth Respondent Lawyers(s): Paul E. Tinkler Arbitrator(s): Donald B. Vaden Hearing Site: Columbia, SC
09-06999	09/26/2011	Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Marc Perkins Respondent Lawyers(s): Marc Perkins Arbitrator(s): Donald B. Vaden Hearing Site: Charlotte, NC
10-03360	01/06/2011	Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Paul T. Cahill Respondent(s): Respondent Lawyers(s): Arbitrator(s): Donald B. Vaden Hearing Site: Washington, DC
10-00819	12/29/2010	Claimant(s): Franklin Trice, Julia Gibbs Claimant Lawyers(s): John E. Davidson Respondent(s): John Pasco, Commonwealth Capital Management, Commonwealth Shareholder Services., First Dominion Capital Corp. Respondent Lawyers(s): Robert M. Goldich, Steven M. Felsenstein Arbitrator(s): Donald B. Vaden, James A. Cummings, John D. Robb Hearing Site: Richmond, VA
07-00273	08/15/2007	Claimant(s): Stanley Legum Claimant Lawyers(s): Stanley D. Legum Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Christopher M. Galusha Arbitrator(s): Donald B. Vaden, James Tyler Pugh, Overman Randolph Rollins Hearing Site: Norfolk, VA