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FINRA Awards for Brian D. Rich

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0117909/28/2010Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Tricia Landry
Respondent Lawyers(s): Brian D. Rich
Arbitrator(s): Roger L. Crossland, Steven R. Rolnick, Jack B. Golden
Hearing Site: Hartford, CT
09-0203812/22/2009Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kevin Carroll
Respondent Lawyers(s): Brian D. Rich
Arbitrator(s): Jack B. Golden
Hearing Site: Hartford, CT

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