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FINRA Awards for Kevin D. Swenson

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Case Number Award Date Case Summary Customer Case? Amount Granted
08-0384110/09/2009Claimant(s): Shannon L. Nichols Trust
Claimant Lawyers(s): Jan Graham
Respondent(s): Citigroup Global Markets., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph L. Hood, William A. Hohauser
Arbitrator(s): Ross W. Cannon, Kevin D. Swenson, Janet M. Thompson
Hearing Site: Salt Lake City, UT
Checkmark Icon$296,890
08-0295408/26/2009Claimant(s): Gwen Thompson, Keith Thompson, Gwen A. Thompson IRA Contributory, Keith R. Thomas IRA Contributory
Claimant Lawyers(s): Tod D. Geidl
Respondent(s): Craig Wessels, Charles Schwab & Co..
Respondent Lawyers(s): Kelly Moynihan
Arbitrator(s): Douglas Martin Crow, Kevin D. Swenson, Burton LaVon Beahm
Hearing Site: Boise, ID
Checkmark Icon$164,727

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