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FINRA Awards for David Taylor

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0407912/03/2019Claimant(s): David Taylor, Kay Taylor
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowther
Arbitrator(s): Langdon T. Owen, Thomas R. Dreiling, Mark Lee Haggard
Hearing Site: Boise, ID
Checkmark Icon$0
12-0093808/09/2013Claimant(s): Joyashree Guha, Mita Guha, Neela Guha, Tridib Guha
Claimant Lawyers(s): Tridib Guha
Respondent(s): David Taylor, Lucile Weed, Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Joseph M. O'Connor, Philip Aaron Tymon, Sean B. Meehan
Hearing Site: San Francisco, CA
Checkmark IconExpungement
11-0080003/16/2012Claimant(s): David Taylor
Claimant Lawyers(s): William R. Warne
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Ferdinand Schoch, Laurel Littman Gothelf
Hearing Site: San Francisco, CA
Checkmark IconExpungement

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