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FINRA Awards for John L. Krauss

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0018005/24/2017Claimant(s): Marlene Lane
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Susan L. Walker, John L. Krauss, William Peter Kealey
Hearing Site: Indianapolis, IN
Checkmark IconExpungement
10-0089909/21/2011Claimant(s): Lorrie Rink, Michael Rink
Claimant Lawyers(s): Mark E Maddox
Respondent(s): Lisa Stover, Primevest Financial Services.
Respondent Lawyers(s): David Williams Russell
Arbitrator(s): Tim V. Young, John L. Krauss, James A. Morrow
Hearing Site: Indianapolis, IN
Checkmark IconStipulated Award and Expungement
06-0478409/13/2007Claimant(s): Pamela Maloof, Pamela M. Maloof IRA, Pamela M. Maloof, and Kathleen J. Smit
Claimant Lawyers(s): Jeffrey P. Hintermeister
Respondent(s): Christopher Saxon, Kathleen Smitz, Raymond James Financial Services.
Respondent Lawyers(s): Christopher Eric Saxon, Erin Linehan, Jeffrey P. Hintermeister
Arbitrator(s): Todd L. Barlow, John L. Krauss, Michael J. Cork
Hearing Site: Indianapolis, IN
Checkmark Icon$393,375

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