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FINRA Awards for Securities Service Network.

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Displaying 4 out of 4 results
Case Number Award Date Case Summary Customer Case? Amount Granted
13-0169309/17/2014Claimant(s): Steven Halliwell
Claimant Lawyers(s): Steven E. Halliwell
Respondent(s): Linda Miller, Nationwide Investment Services Corporati, Securities Service Network., Walnut Street Securities.
Respondent Lawyers(s): Abigail D. Elrod, Joanna M.F. Wilcomes, Ronald T. Klimas, Victoria A. Flinn
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
Checkmark IconDismissed by Rule 12206
11-0456907/09/2013Claimant(s): Allen Silk, Mary Silk, Allen B. Silk, IRA, SEP, Mary E. Silk SEP, Mary E. Silk
Claimant Lawyers(s): Frank "Kim" Breese
Respondent(s): Gary Spooner, Securities Service Network.
Respondent Lawyers(s): Gary Lee Spooner, Ryan R. Baker
Arbitrator(s): Earle J. Schwarz, Kenneth W. Shelley, Leigh Ann Roberts
Hearing Site: Jackson, MS
Checkmark Icon$308,656
10-0553004/17/2012Claimant(s): Patricia Sturgis, Revocable Grantor Trust of June M. Davis
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Securities Service Network.
Respondent Lawyers(s): Ronald T. Klimas
Arbitrator(s): Paul M. Foster, Julius Z. Frager, Sheldon Weinhaus
Hearing Site: St. Louis, MO
Checkmark IconExpungement
07-0260208/15/2008Claimant(s): A. Ray
Claimant Lawyers(s): Walter W. Bussart
Respondent(s): James Bratcher, Securities Service Network.
Respondent Lawyers(s): Christopher G. Lazarini
Arbitrator(s): D. Bruce Shine, Coleman Robert Perry, Richard K. Smith
Hearing Site: Nashville, TN
Checkmark IconDismissed by Rule 12206

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