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FINRA Awards for Casey John Whalley

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0087003/26/2012Claimant(s): Doxa Family Partnership, L.P., Emily A. Schwarz Rev Living Trust, George Weber Jr. Trust etc.
Claimant Lawyers(s): Ronald B. Ziegler
Respondent(s): LPL Financial LLC, Peter Reinecke
Respondent Lawyers(s): Donald J. Mehan, Peter W. Gillies
Arbitrator(s): Gerald Cohen, John R. Loss, Casey John Whalley
Hearing Site: St. Louis, MO
Checkmark IconExpungement
09-0466901/21/2011Claimant(s): Thomas Lewellen, Vida Hill, Thomas & Mary C/F Matthew Lewellen UGMA, Thomas L. Lewellen Do PA DTD 10/1/1980
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Donald F Winningham
Arbitrator(s): Benjamin F. Richards, Veera V. Konka, Casey John Whalley
Hearing Site: Little Rock, AR
Checkmark Icon$100,000

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