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FINRA Awards for David A. Nixon

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Case Number Award Date Case Summary Customer Case? Amount Granted
06-0135011/27/2007Claimant(s): Barbara Kesterson
Claimant Lawyers(s): John L. Hampton
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Kathleen Dedenbach
Arbitrator(s): David A. Nixon, James A. Hayes, Michael A. Kleinman
Hearing Site: Kansas City, MO
06-0501811/01/2007Claimant(s): Est. of D. Cermak, Patricia Prinds, Exe
Claimant Lawyers(s): Barry D. Estell
Respondent(s): Douglas Hemke, First Midamerica Investment Corp.
Respondent Lawyers(s): Jeffrey Jamieson
Arbitrator(s): Keith U. Martin, David A. Nixon, Michael J. Hunter
Hearing Site: Kansas City, MO
Checkmark Icon$230,000

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