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FINRA Awards for Sovereign Advisers

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0159104/07/2010Claimant(s): James Wortman
Claimant Lawyers(s): Andrew O. Whiteman
Respondent(s): Sovereign Advisers, Uvest Financial Services Group.
Respondent Lawyers(s): Lisa L. Tharpe, Sara B. Davis
Arbitrator(s): Zeb E. Barnhardt, William H. McCullough, Robert O. Belo
Hearing Site: Raleigh, NC
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