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FINRA Awards for Cletus M. Herold

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0471207/11/2012Claimant(s): Herold Family Living Trust UAD
Claimant Lawyers(s): Cletus M. Herold
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): William B. Ross
Hearing Site: Des Moines, IA
Checkmark Icon$0
08-0477211/17/2009Claimant(s): Herold Family Living Trust
Claimant Lawyers(s): Cletus M. Herold
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Jack D. Elmquist, James P. O'Donnell, Alan B. Fender
Hearing Site: Des Moines, IA
Checkmark Icon$47,691

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