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FINRA Awards for David B. Helms

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0202406/24/2014Claimant(s): Richard Estes
Claimant Lawyers(s): David B. Helms
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Christopher H. Tovar
Arbitrator(s): Leah A. Murray, Gerald Cohen, Keith E. Mattern
Hearing Site: St. Louis, MO
Checkmark Icon$231,900
08-0052511/06/2008Claimant(s): Josef Westkamp
Claimant Lawyers(s): Werner A. Meier
Respondent(s): Huntleigh Securities Corporation
Respondent Lawyers(s): David B. Helms
Arbitrator(s): R. Phillip Reed, Dennis Jay Capriglione, Alan A. Sachs
Hearing Site: St. Louis, MO
Checkmark IconDismissed by Rule 12206

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