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FINRA Awards for Richard Pratt

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0411401/31/2013Claimant(s): Beverly McDevitt
Claimant Lawyers(s): Beverly E. McDevitt
Respondent(s): Wells Fargo Advisors, Richard Pratt
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Frederic E. Dorkin, Lawrence E. Little, Gideon Daniel Caron
Hearing Site: Seattle, WA
Checkmark IconDismissed by Rule 12206
08-0237304/28/2009Claimant(s): Katharine Murphy
Claimant Lawyers(s): Richard Pratt
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kelly Moynihan
Arbitrator(s): Amy Seltzer
Hearing Site: San Francisco, CA
Checkmark Icon$0

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