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FINRA Awards for Thomas Fields

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0030410/12/2017Claimant(s): Thomas Fields
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A.G. Edwards & Sons., Wells Fargo Advisors, Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson, Deirdre Wolff
Arbitrator(s): Neil Harvey Smith
Hearing Site: Nashville, TN
14-0022109/18/2014Claimant(s): Thomas Fields
Claimant Lawyers(s): David Wakukawa
Respondent(s): Patricia Taylor, Robert Taylor, RT Enterprises, The Taylor Family Trust DTD 03/10/1992
Respondent Lawyers(s): Robert Taylor
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
Expungement

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