FINRA Awards for David Thompson

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Displaying 3 out of 3 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
22-02586	08/23/2024	Claimant(s): Alan Taylor, Albert Konetzni, Allen Bealer, Charles Woods, Christopher Splint, Constantino Gabrie, Daniel Smith, David Parta, David Shipman, David Thompson, Doug Austin, Eddie Yaklin, George Economos, Gerald Nelson, Guy Tiner, Huxley Richardson, John Friesen, John Griffin, John Restivo, John Ritzenthaler, John Trobaugh, Larry Pitts, Linda Dahl, Mitchell Dorfman, Paul Randall, Robert Bushman, Robert Pollard, Robert Tobey, Roger Kriete, Ronald Chernenko, Shirley Konetzni, Stephen Collins, Steve Huddleston, Thomas Riddle, Thomas Rothe, Thomas Skjold Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): SW Financial Respondent Lawyers(s): Bruce Boyle Arbitrator(s): David Aaron DeSoto, Brucus Owdley, Nile Bailey Copeland Hearing Site: Houston, TX		$13,476,100
14-01415	08/05/2016	Claimant(s): Susan Mueller Claimant Lawyers(s): Dale R. Jensen Respondent(s): David Thompson, Wall Street Financial Group. Respondent Lawyers(s): Marni Rae Robin, Michael Schwartzberg Arbitrator(s): Richard E. Lauziere, Christopher M. McMurray, David R. Johnson Hearing Site: Richmond, VA		$0
09-00022	10/05/2009	Claimant(s): David Thompson Claimant Lawyers(s): Howard M. Rosenfield Respondent(s): Pavek Investments Inc. Respondent Lawyers(s): Peter B. Shaeffer Arbitrator(s): John E. Sundeen, John F Fennig, Leonard G. Leverson Hearing Site: Milwaukee, WI		$0