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FINRA Awards for Roland M. Cavalier

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0287008/12/2011Claimant(s): Barbara Lynn, Barbara A. Lynn Trust
Claimant Lawyers(s): Roland M. Cavalier
Respondent(s): Brian Robb, Stifel, Nicolaus & Co.., John Peters
Respondent Lawyers(s): James C. Browning, Jr.
Arbitrator(s): Bert S Cliff, Jeffrey M. Bain, Kathleen Maher Zouhary
Hearing Site: Cleveland, OH
Checkmark IconStipulated Award and Expungement

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