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FINRA Awards for Reggie C. Giffin

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0270203/27/2017Claimant(s): Teresa Vollenweider, Step By Step Communications., Teresa Vollenweider Trust
Claimant Lawyers(s): Jason M. Kueser
Respondent(s): Donald Porterfield, Morgan Stanley
Respondent Lawyers(s): Jason M. Fedo
Arbitrator(s): Reggie C. Giffin, M. W. Gear, Ronald G. Bruch
Hearing Site: Kansas City, MO
Checkmark Icon$250
15-0250101/05/2017Claimant(s): The Estate of Roger W. Geiken
Claimant Lawyers(s): Aaron Israels
Respondent(s): Rebecca Gorrell
Respondent Lawyers(s): Mark E. McFarland
Arbitrator(s): Reggie C. Giffin, James C. Morrow, Henry R. Cox
Hearing Site: Kansas City, MO
Checkmark IconExpungement
15-0088807/19/2016Claimant(s): Ranjit Singh, Kingsboro
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Vincent Louwagie
Arbitrator(s): Reggie C. Giffin, Thomas J. Ray, John R. Loss
Hearing Site: Kansas City, MO
Checkmark Icon$0

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