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FINRA Awards for on behalf of IRA/Trusts

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0399012/11/2012Claimant(s): Pamela Johnson, Thomas Johnson, T. & P. Johnson, on behalf of IRA/Trusts
Claimant Lawyers(s): Stephen D. Milbrath
Respondent(s): Steven Thagard, Northwestern Mutual Investment Services
Respondent Lawyers(s): Jason M. Fedo, Michael A. Massari
Arbitrator(s): Robert J. Walter, Gayle B. Carlson, Laura Anne Wheeler
Hearing Site: Orlando, FL
Checkmark IconExpungement

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