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FINRA Awards for Pennie L. Roberts Rev. Trust

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Case Number Award Date Case Summary Customer Case? Amount Granted
08-0002905/29/2009Claimant(s): Craig Roberts, Pennie Roberts, Pennie L. Roberts Rev. Trust
Claimant Lawyers(s): A. Brian McIntosh
Respondent(s): Wachovia Securities, Patrick Sowers, Scottrade.
Respondent Lawyers(s): Andrew C. Small, Brent J. Burtin
Arbitrator(s): W. Pat Conners, John S. Weisheit, Edmund P. Pultinas
Hearing Site: Cincinnati, OH
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