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FINRA Awards for Keith L. Griffin

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Displaying 10 out of 14 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0307104/05/2017Claimant(s): Alice Appel
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Indianapolis, IN
Checkmark IconExpungement
13-0367311/25/2015Claimant(s): Theresa Devereux
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bradely B. Rounsaville
Arbitrator(s): Robert J. Kheel
Hearing Site: Syracuse, NY
Checkmark IconExpungement
13-0348209/18/2014Claimant(s): Gerald Kreimeyer, Gerald K. Kreimeyer, IRA
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Mark R. Topper, Thomas Joseph Atkinson, Anthony Richard Sanchez
Hearing Site: Orlando, FL
Checkmark IconExpungement
13-0268004/29/2014Claimant(s): Robert Burns, Robert E. Burns IRA
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): K. Clark Phipps
Arbitrator(s): Maxel (Bud) B. Silverberg
Hearing Site: Oklahoma City, OK
Checkmark Icon$300
13-0016901/06/2014Claimant(s): Julia Pordon, Leo Pordon, Julia M. Pordon on Behalf of Her IRA, Leo Pordon on Behalf of His IRA
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): John M. Eadie, Joseph L. Bernstein, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
12-0294407/31/2013Claimant(s): Mary Power
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Elin B. Young
Arbitrator(s): Thomas L. Dueber
Hearing Site: Denver, CO
Checkmark IconExpungement
12-0262607/24/2013Claimant(s): David Broadwell, David W. Broadwell Revocable Trust
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Robert W. Topp
Arbitrator(s): Gerald Silverman
Hearing Site: Ft. Lauderdale, FL
Checkmark Icon$56,625
12-0349207/17/2013Claimant(s): Jay Heller
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Elin B. Young
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
Checkmark IconExpungement
11-0181509/12/2012Claimant(s): Doug Siegel, Teri Siegel, Terri Siegel IRA
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Joseph V. Simeri, Robert David Epstein, William Gibson Heller
Hearing Site: Indianapolis, IN
Checkmark Icon$8,500
11-0422805/21/2012Claimant(s): Joseph A. Graziose & Florence M. Hechtel
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Joseph C. Pickard
Arbitrator(s): Alvin Green
Hearing Site: New York, NY
Checkmark Icon$24,875

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