FINRA Awards for Shea O'Brien Hicks

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
23-00032	07/05/2023	Claimant(s): Arthur Rifflard, Arthur Rifflard IRA Claimant Lawyers(s): Courtney M. Werning Respondent(s): Cambridge Investment Research. Respondent Lawyers(s): Shea O'Brien Hicks Arbitrator(s): Vincent S. Mezinko Hearing Site: Columbus, OH		$0
22-00794	04/06/2023	Claimant(s): Norman Williams Claimant Lawyers(s): Mark J. Krudys Respondent(s): Frederick Hughes, Wells Fargo Clearing Services Respondent Lawyers(s): Shea O'Brien Hicks Arbitrator(s): Gordon M. Wase, Arthur B. O'Connell, John D. Mattingly Hearing Site: Norfolk, VA		$475,625