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FINRA Awards for Waddell & Reed

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Displaying 5 out of 5 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0143406/05/2019Claimant(s): 0
Claimant Lawyers(s): 0
Respondent(s): Gregory Bauer, Waddell & Reed
Respondent Lawyers(s): Gregory R. Bauer, Richard H. Kuhlman
Arbitrator(s): Richard W. Dissen
Hearing Site: Pittsburgh, PA
Checkmark Icon$420,824
17-0202705/02/2018Claimant(s): Kunjlata Mehta
Claimant Lawyers(s): Al Van Kampen
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Meghan H. Pietoso
Arbitrator(s): John M. Casey
Hearing Site: Seattle, WA
Checkmark Icon$54,192
10-0470907/25/2012Claimant(s): Victoria Tacher-Zavala
Claimant Lawyers(s): Charles E. Scarlett
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Carrie Bechtold
Arbitrator(s): William H. Steinbrenner, Robert J. Walter, James Howell Garrison
Hearing Site: Orlando, FL
Checkmark IconExpungement
07-0292404/23/2008Claimant(s): Garland Adams
Claimant Lawyers(s): Milton H Fried
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Carrie J. Bechtold
Arbitrator(s): A. Keith Logue, Irving M. Shlesinger, Thomas Neal Tillery
Hearing Site: Atlanta, GA
Checkmark Icon$0
07-0158912/06/2007Claimant(s): Fiduciary Trust Co NH Cust FBO John P.
Claimant Lawyers(s): John P. Lake
Respondent(s): Jeff Whitaker, Waddell & Reed
Respondent Lawyers(s): Jill W. Lens
Arbitrator(s): Stephen R. Clark
Hearing Site: San Diego, CA
Checkmark Icon$21,291

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