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FINRA Awards for Laurel A. Whelan

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0000507/27/2020Claimant(s): Dustin Christopherson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America.
Respondent Lawyers(s): Laurel A. Whelan
Arbitrator(s): William M. Azkoul
Hearing Site: Minneapolis, MN
19-0266105/07/2020Claimant(s): Patricia Loris
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America.
Respondent Lawyers(s): Laurel A. Whelan
Arbitrator(s): Donald M. Thompson
Hearing Site: Chicago, IL
19-0329404/07/2020Claimant(s): Robert Warther
Claimant Lawyers(s): James P. Galvin
Respondent(s): Securities America.
Respondent Lawyers(s): Laurel A. Whelan
Arbitrator(s): Diane M. Perry, Robert G. Geeseman, Tiffany Ann Taylor
Hearing Site: Boca Raton, FL

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