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FINRA Awards for Roger D. Johnson

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0167003/10/2011Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Julie H. Firestone
Respondent(s): Lance Morque
Respondent Lawyers(s): Bruce N. Crawford
Arbitrator(s): Roger D. Johnson, Craig A. Gordon, Laura Kate Wennik
Hearing Site: Minneapolis, MN
08-0120311/10/2008Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): James Maurice
Respondent Lawyers(s): James Kenneth Maurice
Arbitrator(s): Roger D. Johnson
Hearing Site: Des Moines, IA

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