FINRA Awards for John D. Mattingly

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Displaying 11-18 out of 18 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
13-02739	02/02/2015	Claimant(s): Edward Kraus, Sandra Kraus Claimant Lawyers(s): Sara E. Hanley Respondent(s): Carlos Dominguez, Wells Fargo Advisors Respondent Lawyers(s): Deirdre C. Wolff, Walter L. Baumgardner Arbitrator(s): Judith Stilz Ogden, John D. Mattingly, Yvette L. Nurse Hearing Site: Atlanta, GA		Expungement
13-00670	10/24/2014	Claimant(s): Tunde Oladunni Claimant Lawyers(s): Glenn A. Delk Respondent(s): Wells Fargo Advisors, Keith Spelmon Respondent Lawyers(s): Deirdre Wolff Arbitrator(s): John D. Mattingly Hearing Site: Atlanta, GA		Expungement
12-04108	10/10/2014	Claimant(s): John Wellborn Claimant Lawyers(s): Jonathan E. Newman Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Kendall P. Hill, John D. Mattingly, Orville Barrington Wright Hearing Site: Birmingham, AL		$0
12-04185	03/06/2014	Claimant(s): Nicholas Methven Claimant Lawyers(s): Benjamin Lapin Respondent(s): American Portfolios Financial Services Respondent Lawyers(s): Carrie Bechtold Arbitrator(s): W. William Harness, John D. Mattingly, Wallace T. Tanksley Hearing Site: Atlanta, GA		Expungement
10-02055	04/27/2012	Claimant(s): Ronald Phillips Claimant Lawyers(s): Richard B Fosher Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Stephen M. Cox Arbitrator(s): Ralph S. Paden, John D. Mattingly, John G. Shamp Hearing Site: Columbia, SC		Expungement
08-04616	10/20/2009	Claimant(s): Ravindra Sheth Claimant Lawyers(s): Ravindra Sheth Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): John Bersin Arbitrator(s): Chandler R Bridges, George S. Willingham, John D. Mattingly Hearing Site: Atlanta, GA		$0
08-04627	05/27/2009	Claimant(s): Don Stark Claimant Lawyers(s): Don F. Stark Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): Ryan R. Baker Arbitrator(s): John D. Mattingly Hearing Site: Memphis, TN		$8,213
08-00811	11/21/2008	Claimant(s): Mary Bickerstaff Claimant Lawyers(s): Andrew Stoltmann Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): Thomas A. Farnen Arbitrator(s): Richard V. McGalliard, John D. Mattingly, Marcia A. Ogilvie Hearing Site: Atlanta, GA		$300