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FINRA Awards for William D. Nelson

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Displaying 10 out of 14 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0396212/24/2019Claimant(s): The Ilgvars J. Zallaps Family Trust
Claimant Lawyers(s): Steve A. Miller
Respondent(s): Garner Mabry, Wells Fargo Advisors Financial Network, Merrill Lynch Pierce Fenner & Smith Inc., Todd Schwartz, Schwartz Mabry Private Wealth Advisory
Respondent Lawyers(s): Bruce W. Day, Julie E. Ravis, William D. Nelson
Arbitrator(s): Jo-Marie Lisa, Baldwin Ranson, Tina Alison Davis
Hearing Site: Denver, CO
Checkmark IconDismissed by Rule 12206/12504
13-0019407/11/2014Claimant(s): Jennifer Figge
Claimant Lawyers(s): Rand S. Wonio
Respondent(s): Wells Fargo Advisors, Wells Fargo Wealth Brokerage Insurance A
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Charles G. Michaels, Bruce Brown, Ronald L. Lantz
Hearing Site: Denver, CO
Checkmark Icon$0
10-0348201/13/2012Claimant(s): Jim Clamp, Susan Stewart, Clamp Investment Properties, Stewart Investment Properties
Claimant Lawyers(s): William D. Nelson
Respondent(s): Gregory Fulton
Respondent Lawyers(s): Steven W. McDonald
Arbitrator(s): James J. Moylan, Avery B. Goodman, Richard Djokic
Hearing Site: Denver, CO
Checkmark Icon$700,600
10-0084708/02/2011Claimant(s): Linda Mellicker-Bhan
Claimant Lawyers(s): Nisha Wright
Respondent(s): David Klein, Centaurus Financial.
Respondent Lawyers(s): David Louis Klein, William D. Nelson
Arbitrator(s): James J. Moylan, Suanne M. Parro, Henry Eric Peitz
Hearing Site: Denver, CO
Checkmark Icon$220,466
09-0655903/07/2011Claimant(s): Allyn Husman, JoAnn Husman
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Ralph Schneider, Ronald Kerher, Okoboji Financial Services.
Respondent Lawyers(s): President of the Company, Ralph R. Schneider, William D. Nelson
Arbitrator(s): Kevin D. Hofman, Susan M. Sanger, Wayne A. Robinson
Hearing Site: Minneapolis, MN
Checkmark Icon$299,400
09-0335205/17/2010Claimant(s): Philip Henderson
Claimant Lawyers(s): William R. Fishman
Respondent(s): Keys Tinney, ING Financial Partners.
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Paul A. Krepinski, Gerhard L. Schopen, Michael A. Ruderman
Hearing Site: Denver, CO
Checkmark Icon$434,445
08-0036809/02/2009Claimant(s): Ahmad Ahmadian
Claimant Lawyers(s): Ahmad Ahmadian
Respondent(s): Calvin Mason, Wachovia Securities
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Bradford J. Lam, Leon C. Tupy, Robert M. Fusfeld
Hearing Site: Denver, CO
Checkmark Icon$0
08-0460007/31/2009Claimant(s): Susan Regan, Susan M. Regan Trust
Claimant Lawyers(s): Robert W. Hutchinson
Respondent(s): Scott Kozak, Multi-Financial Securities Corporation
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Marc H. Schtul, Marilyn R. Lewis, Lawrence Douglas Brookes
Hearing Site: Denver, CO
Checkmark Icon$52,050
07-0341203/05/2009Claimant(s): Aimee Mason-Hobbins
Claimant Lawyers(s): James S. Helfrich
Respondent(s): Derek Kent, Sagepoint Financial.
Respondent Lawyers(s): Gene R. Thornton, William D. Nelson
Arbitrator(s): Robert C. Roth, Bruce Brown, Michael A. Ruderman
Hearing Site: Denver, CO
Checkmark Icon$509,800
07-0336603/03/2009Claimant(s): Leslie Buttorff, J & N Realty Company
Claimant Lawyers(s): Susan G. Pray
Respondent(s): Anthony Russo, RBC Dain Rauscher.
Respondent Lawyers(s): Anthony C. Russo, William D. Nelson
Arbitrator(s): Arthur E. Otten, John A. Criswell, Melissa Dawn Hubbard
Hearing Site: Denver, CO
Checkmark Icon$348,750

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