FINRA Awards for John D. Mattingly

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 7 out of 7 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
22-01659	01/11/2023	Claimant(s): Margaret Wiley Claimant Lawyers(s): Bryan Ward Respondent(s): Raymond James Financial Services. Respondent Lawyers(s): Laura Ruiz Rivera Arbitrator(s): Edward R. Hipp, Michael J. Ahlstrom, John D. Mattingly Hearing Site: Norfolk, VA
20-01054	11/19/2020	Claimant(s): Amy Webster Claimant Lawyers(s): Robert L. Herskovits Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Deirdre Wolff Arbitrator(s): John D. Mattingly Hearing Site: Atlanta, GA
16-02887	10/16/2020	Claimant(s): LPL Financial LLC Claimant Lawyers(s): Neil S. Baritz Respondent(s): Nelson Torrens Respondent Lawyers(s): Nelson Torrens Arbitrator(s): John D. Mattingly Hearing Site: Atlanta, GA
13-02560	07/15/2014	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Carolyn LaMar Respondent(s): Derek D'alonzo Respondent Lawyers(s): Derek Rudolf D'alonzo Arbitrator(s): John D. Mattingly Hearing Site: Atlanta, GA
13-02172	12/05/2013	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Carolyn LaMar Respondent(s): Mark McNew Respondent Lawyers(s): Mark McNew Arbitrator(s): John D. Mattingly Hearing Site: Atlanta, GA
13-00696	09/12/2013	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Christopher Griesmeyer Respondent(s): David Van Rensselaer Respondent Lawyers(s): David Van Rensselaer Arbitrator(s): John D. Mattingly Hearing Site: Columbia, SC
10-00226	01/30/2012	Claimant(s): Kevin Solik Claimant Lawyers(s): John D. Singer Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Frederick T. Smith Arbitrator(s): Clare R. Goldfarb, E. Trice Laird, John D. Mattingly Hearing Site: Atlanta, GA