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FINRA Awards for Axos Clearing

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Case Number Award Date Case Summary Customer Case? Amount Granted
22-0132711/20/2024Claimant(s): Carlina Rodriguez
Claimant Lawyers(s): Nico Banks
Respondent(s): SW Financial
Respondent Lawyers(s): Axos Clearing
Arbitrator(s): George G. Kurschner, Richard W. Epstein, Robert J. Buchner
Hearing Site: Boca Raton, FL
Checkmark Icon$200,400
22-0119508/30/2023Claimant(s): James Fayssoux, Sr.
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): SW Financial
Respondent Lawyers(s): Axos Clearing
Arbitrator(s): Roger C. Benson, Bernadette F. Rasmussen, William Finley Hamel
Hearing Site: Columbia, SC
Checkmark Icon$3,193,550

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