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FINRA Awards for Carolyn L. Witherspoon

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Displaying 5 out of 5 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0300807/17/2015Claimant(s): Erin Tessman, Harold Tessman
Claimant Lawyers(s): T. John Kirk
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): J. Maxwell Williams, Carolyn L. Witherspoon, Joan M. Esserman
Hearing Site: Little Rock, AR
Checkmark Icon$0
13-0258803/12/2014Claimant(s): Dallas Wood
Claimant Lawyers(s): Dallas C. Wood
Respondent(s): Yousuf Saljooki, Brookville Capital Partners
Respondent Lawyers(s): Brett D. Zinner
Arbitrator(s): Kimberly Renee McBride, Carolyn L. Witherspoon, Janet M. Thompson
Hearing Site: Little Rock, AR
Checkmark IconExpungement
09-0030303/10/2010Claimant(s): Kathleen S. Lahare, Paul J. Lahare
Claimant Lawyers(s): Jessica M. Vasquez
Respondent(s): Robert McCullough, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Simeon B. Reimonenq, Carolyn L. Witherspoon, Robert A. Wojcik
Hearing Site: New Orleans, LA
Checkmark Icon$0
09-0412107/22/2009Claimant(s): Kathleen LaHare, Paul Lahare
Claimant Lawyers(s): Paul J. Lahare
Respondent(s): Kathy Mason, Mathew Cotton
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Simeon B. Reimonenq, Carolyn L. Witherspoon, Clave E. Gill
Hearing Site: New Orleans, LA
Checkmark IconExpungement
06-0462509/14/2007Claimant(s): Betty Gray
Claimant Lawyers(s): Richard C. Downing
Respondent(s): Charles George, Citigroup Global Markets.
Respondent Lawyers(s): Donald J. Mehan, Hugo A. Hilgendorff
Arbitrator(s): Ronald R. Wilhelm, Elton W. Chartrand, Carolyn L. Witherspoon
Hearing Site: Little Rock, AR
Checkmark Icon$1,157,380

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