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FINRA Awards for Arthur L. Tepper

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Displaying 6 out of 6 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0247207/11/2017Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Daniel Gunderson
Respondent Lawyers(s): Daniel J. Gunderson
Arbitrator(s): Arthur L. Tepper
Hearing Site: Dallas, TX
14-0084605/26/2015Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Jonathan Sokolowski
Respondent(s): James Clay
Respondent Lawyers(s): James Randall Clay
Arbitrator(s): Hugh J. Moore, David T. Maddux, Arthur L. Tepper
Hearing Site: Nashville, TN
11-0085402/09/2012Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): John Goodson
Respondent Lawyers(s): John Goodson
Arbitrator(s): G. Brooks Euler, Arthur L. Tepper, John G. Manley
Hearing Site: Nashville, TN
10-0326811/18/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael W. Starr
Respondent(s): David Crook
Respondent Lawyers(s): David Crook
Arbitrator(s): Arthur L. Tepper
Hearing Site: Atlanta, GA
09-0244404/29/2010Claimant(s): Jamie Hines
Claimant Lawyers(s): Robert Persante
Respondent(s): Ronald Giovino, GWN Securities Inc., Tax Shelter America.
Respondent Lawyers(s): Bruce W. Barnes, Jonathan B. Butler
Arbitrator(s): Richard J. Fuller, Arthur L. Tepper, William H. McCullough
Hearing Site: Clearwater, FL
08-0308801/27/2010Claimant(s): National Securities Corporation
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Richard Darquea
Respondent Lawyers(s): Richard Darquea
Arbitrator(s): Michael A. Levin, Robert A. Fabricant, Arthur L. Tepper
Hearing Site: Boca Raton, FL

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