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FINRA Awards for Kelly A. Barker

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0185409/18/2015Claimant(s): Tammy Miller
Claimant Lawyers(s): R. Craig Zafis
Respondent(s): Matthew Deline
Respondent Lawyers(s): Matthew Francis Deline
Arbitrator(s): Guenter S. Cohn, Kelly A. Barker, Arthur F. Brueggeman
Hearing Site: San Diego, CA
Checkmark Icon$16,800
09-0447112/20/2010Claimant(s): The Vallone Family 1985 Trust
Claimant Lawyers(s): Richard J. Annen,
Respondent(s): Wachovia Securities, Victor Koby
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Kelly A. Barker, Mandel E. Himelstein, Mary Elizabeth Geerdes
Hearing Site: San Diego, CA
Checkmark Icon$210,891
09-0075203/23/2010Claimant(s): Harry Lockmann
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Mark Holland, Banc of America Investment Services Inc.
Respondent Lawyers(s): Casey L. Moore, Stephen M. Dollar
Arbitrator(s): Stephen R. Clark, Kelly A. Barker, William L. Merkin
Hearing Site: San Diego, CA
Checkmark Icon$32,230

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