Potomac Analytics' Logo

FINRA Awards for Rebecca Swenson

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

Filter by:

Sort by:

Displaying 4 out of 4 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0107405/23/2024Claimant(s): Kay Klein, Roy Klein
Claimant Lawyers(s): Christopher Lufrano
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca Swenson
Arbitrator(s): Sal Presti, Gregory G. Gocek, Debra J. Tucker
Hearing Site: Chicago, IL
Checkmark IconExpungement
23-0224202/12/2024Claimant(s): Jonathan Socha
Claimant Lawyers(s): Jonathan Socha
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca Swenson
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Denver, CO
Checkmark Icon$0
22-0211602/02/2024Claimant(s): Dean Reeves
Claimant Lawyers(s): William Thomas Lacy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca Swenson
Arbitrator(s): Harry G. Mason
Hearing Site: Atlanta, GA
Checkmark Icon$0
12-0148512/18/2013Claimant(s): Gaile Withers
Claimant Lawyers(s): Cynthia R. Levin Moulton
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca Swenson
Arbitrator(s): Jeffrey R. Jury, Michael S. Yauch, Michael Louis Goldstone
Hearing Site: Houston, TX
Checkmark IconExpungement

4 Results

Display: