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FINRA Awards for Compliance Consultant

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0184505/01/2012Claimant(s): James Johnson
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Todd Bauerle, Bauerle Financial.
Respondent Lawyers(s): Jeffrey B. Kelvin, Compliance Consultant, Kirk T. Bauer
Arbitrator(s): Stuart K. Furman, Joseph John Mantione, Lauren S. Puritz
Hearing Site: Orlando, FL
Checkmark Icon$7,500

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