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FINRA Awards for Karen G. Caldwell

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0301102/01/2018Claimant(s): Karen Caldwell
Claimant Lawyers(s): Karen G. Caldwell
Respondent(s): Wells Fargo Advisors, Mary Stockinger
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Mary E. Woytek, Frank Samuel Perri, Brock B. Gordon
Hearing Site: Charlotte, NC
Checkmark IconExpungement

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