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FINRA Awards for John Rock

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Displaying 11-13 out of 13 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0091707/13/2012Claimant(s): Chongqing Du, Li Zhu
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): Herbert S. Bratt, Robert S. Burk, Grant D. Sanders
Hearing Site: Des Moines, IA
Checkmark Icon$300
08-0442505/14/2010Claimant(s): Guenther Roth
Claimant Lawyers(s): Thomas E. Jamison
Respondent(s): David Tysk, Ameriprise Financial Services.
Respondent Lawyers(s): John Rock
Arbitrator(s): Kathy A. Tatone, Arthur Richard Tow, Gary L. Hansen
Hearing Site: Minneapolis, MN
Checkmark Icon$466,000
06-0445610/09/2007Claimant(s):
Claimant Lawyers(s):
Respondent(s): Ameriprise Financial Services., James Krieg, Todd Glaw
Respondent Lawyers(s): Gail E. Boliver, John Rock
Arbitrator(s): Timothy E. Taggart, Michael I. White, Lawrence P. McLellan
Hearing Site: Des Moines, IA
Checkmark Icon$0

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