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FINRA Awards for Kenneth Nelson

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0290905/20/2022Claimant(s): Kenneth Nelson
Claimant Lawyers(s): Brian Luther
Respondent(s): Cetera Advisors Llc
Respondent Lawyers(s): David Feldstein
Arbitrator(s): John Winslow Griesser
Hearing Site: Raleigh, NC
18-0342306/07/2019Claimant(s): Kenneth Nelson
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Morgan Keegan & Company
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Richard James Igou
Hearing Site: Raleigh, NC
11-0239605/02/2013Claimant(s): Kenneth Nelson, Kris Nelson, Carol W. Nelson, Carol W. Nelson Trust, Kenneth A. Nelson Irrevocable Insurance, Kenneth A. Nelson Revocable Trust
Claimant Lawyers(s): Daniel H. Charest
Respondent(s): Jason Stephens, UBS Financial Services Inc., The Stephens Wealth Management Group
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Barry David Thorpe, Philip L. Manczak, Theresa Lillian Mains
Hearing Site: Ft. Lauderdale, FL
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