FINRA Awards for Stephen K. Wild

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Displaying 5 out of 5 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
23-01215	01/22/2024	Claimant(s): Brent Turner Claimant Lawyers(s): Dochtor Kennedy Respondent(s): QA3 Financial Corp., Transamerica Financial Advisors Respondent Lawyers(s): Stephen K. Wild, Susan D. Duff Arbitrator(s): Karl A. Vogeler Hearing Site: Nashville, TN
22-01896	08/10/2023	Claimant(s): Terry Anderson Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): Securities America., First Allied Securities., Capwest Securities., International Assets Advisory, J.W. Cole Financial., QA3 Financial Corp. Respondent Lawyers(s): Dale K. Hall, Emily M. Knight, Jennifer R. Cox, Jeremy Wooden, Myra P. Nicholson, Stephen K. Wild Arbitrator(s): Steven Meyrich, Leonard M. Goldstein, Aaron J. Haley Hearing Site: Denver, CO
17-01901	04/18/2018	Claimant(s): Michael Tomren Claimant Lawyers(s): Dochtor Kennedy Respondent(s): First Montauk Securities Corp., QA3 Financial Corp. Respondent Lawyers(s): Robert I. Rabinowitz, Stephen K. Wild Arbitrator(s): Joseph M. O'Connor Hearing Site: San Francisco, CA
17-00405	01/12/2018	Claimant(s): Daniel Ahmad Claimant Lawyers(s): Dochtor Kennedy Respondent(s): National Planning Corporation, QA3 Financial Corp. Respondent Lawyers(s): Chad Weaver, Stephen K. Wild Arbitrator(s): John J. Fitzpatrick Hearing Site: San Francisco, CA
17-00238	10/11/2017	Claimant(s): James Files Claimant Lawyers(s): Dochtor Kennedy Respondent(s): QA3 Financial Corp. Respondent Lawyers(s): Stephen K. Wild Arbitrator(s): Kevin C. Coleman Hearing Site: San Francisco, CA