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FINRA Awards for Brian Francis Pocock

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0029210/25/2022Claimant(s): William Howard
Claimant Lawyers(s): Eric J. Nathan
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Keith Barnett
Arbitrator(s): Lita S. Menkin, Edwin J. Buckley, Brian Francis Pocock
Hearing Site: Atlanta, GA
20-0395806/01/2021Claimant(s): Jonathan Sard
Claimant Lawyers(s): James P. Galvin
Respondent(s): Purshe Kaplan Sterling Investments
Respondent Lawyers(s): David Purcell
Arbitrator(s): Michael J. Ahlstrom, Judith Stilz Ogden, Brian Francis Pocock
Hearing Site: Atlanta, GA

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