FINRA Awards for Philip S. Wellman

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
22-02151	05/02/2023	Claimant(s): Dennis Karjanis Claimant Lawyers(s): Craig A Riha Respondent(s): National Securities Corporation Respondent Lawyers(s): Emily A. Hayes Arbitrator(s): Philip S. Wellman, Peter E. Gillespie, David Adams Reif Hearing Site: Hartford, CT
09-00524	11/26/2012	Claimant(s): Wachovia Securities Claimant Lawyers(s): Len Weintraub Respondent(s): Katherine Traver, RBC Capital Markets Corporation Respondent Lawyers(s): Eric D. Brandfonbrener Arbitrator(s): Ronald L. Cheney, Robert J. Ambrogi, Philip S. Wellman Hearing Site: Montpelier, VT
07-02564	09/30/2009	Claimant(s): TD Banknorth, N.A. Claimant Lawyers(s): Thomas W. Witherington Respondent(s): Jeffrey Davis, National Planning Corporation Respondent Lawyers(s): Richard N. Freeth Arbitrator(s): Samuel H. Chorches, Philip S. Wellman, Sean Alan D'Amico Hearing Site: Hartford, CT
08-01621	04/24/2009	Claimant(s): Richard Soucy Claimant Lawyers(s): Richard K Soucy Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Julie C. Webb Arbitrator(s): Eugene Tenenbaum, Elizabeth K. Norsworthy, Philip S. Wellman Hearing Site: Manchester, NH