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FINRA Awards for Mark R. Topper

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Displaying 4 out of 4 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0128003/09/2017Claimant(s): Michael Montalvo
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Steven A. Siegel
Arbitrator(s): Mark R. Topper, Thomas Roe Oldt, Ronald Charles Waters
Hearing Site: Orlando, FL
14-0092905/17/2016Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Chadwick Hargis
Respondent Lawyers(s): Chadwick Lynn Hargis
Arbitrator(s): Mark R. Topper
Hearing Site: Orlando, FL
13-0228110/08/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory Tendrich
Respondent(s): James Tully
Respondent Lawyers(s): James Tully
Arbitrator(s): Mark R. Topper
Hearing Site: Orlando, FL
09-0151607/19/2011Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Ronald Blevins
Respondent Lawyers(s): Ronald Todd Blevins
Arbitrator(s): Robert E. Thompson, Mark R. Topper, James Conrad Riewerts
Hearing Site: San Francisco, CA

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