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FINRA Awards for K. Michael Swann

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Displaying 5 out of 5 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0200812/16/2022Claimant(s): Beau Crabill
Claimant Lawyers(s): Philip Vujanov
Respondent(s): Sean Casterline, Delta Securities Company
Respondent Lawyers(s): Chelsea Bauer, K. Michael Swann
Arbitrator(s): Katherine Hendricks, Adrian Martinez Madrone, Riya Kuo
Hearing Site: Seattle, WA
Checkmark IconExpungement
12-0006510/10/2012Claimant(s): Arthur W. Curtis, Jr. Trust, Cynthia S. Curtis Trust
Claimant Lawyers(s): K. Michael Swann
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Thomas Joseph Atkinson, Daniel P. Lund, Robert M. Bath
Hearing Site: Orlando, FL
Checkmark IconExpungement
11-0038803/02/2012Claimant(s): Mary Carkeet
Claimant Lawyers(s): K. Michael Swann
Respondent(s): International Assets Advisory, Llc
Respondent Lawyers(s): Kevin A. Carreno
Arbitrator(s): David M. Levine, Thomas Joseph Atkinson, Lauren S. Puritz
Hearing Site: Orlando, FL
Checkmark Icon$0
09-0176607/08/2010Claimant(s): Gilbert MacGregor
Claimant Lawyers(s): K. Michael Swann
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Coren H. Stern
Arbitrator(s): Simone Sicola
Hearing Site: Orlando, FL
Checkmark Icon$20,000
07-0167902/05/2009Claimant(s): Daniel Day
Claimant Lawyers(s): K. Michael Swann
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Stan West, Suzanne E. Reynolds-Brady, Thomas K. Goldie
Hearing Site: Orlando, FL
Checkmark IconStipulated Award and Expungement

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