FINRA Awards for Susan L. Walker

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 31-40 out of 68 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
19-00987	06/11/2019	Claimant(s): Noel Becker Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Craig A. Vollono Arbitrator(s): Susan L. Walker Hearing Site: Cleveland, OH
18-00561	10/30/2018	Claimant(s): Richard Frith II Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Larson Financial Securities Respondent Lawyers(s): Steven Cervantes Arbitrator(s): Susan L. Walker Hearing Site: Omaha, NE
17-00702	10/25/2018	Claimant(s): Raymond James Financial Services. Claimant Lawyers(s): Jordan D. Maglich Respondent(s): William Kaehr Respondent Lawyers(s): William Kaehr Arbitrator(s): Susan L. Walker Hearing Site: Chicago, IL
18-01028	08/21/2018	Claimant(s): Tyler Smith Claimant Lawyers(s): Robert L. Hartley Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon Kaplon Arbitrator(s): Susan L. Walker Hearing Site: Chicago, IL
17-01750	07/27/2018	Claimant(s): Jason Smitka Claimant Lawyers(s): Jerry D. Rank Respondent(s): Mark Roberts, Michael Tuma, Affinity Asset Management, Client One Securities LLC Respondent Lawyers(s): John Jackson Miller, Roger N. Walter Arbitrator(s): Lonnie L. Cunningham, Susan L. Walker, Steven Joseph Streen Hearing Site: Kansas City, MO
18-00098	07/20/2018	Claimant(s): George Meyer Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon Kaplon Arbitrator(s): Susan L. Walker Hearing Site: St. Louis, MO
16-02506	07/12/2018	Claimant(s): Sheldon & Judith Ferkey Revocable Trust Claimant Lawyers(s): Michael Schaalman Respondent(s): Judith Ferkey, TD Ameritrade Clearing., Sheldon Ferkey Respondent Lawyers(s): Dana Sirkis Gloor, Michael Schaalman Arbitrator(s): David J. Hase, Jonathan B. Gilbert, Susan L. Walker Hearing Site: Milwaukee, WI		$0
17-02652	05/21/2018	Claimant(s): Andrew Seaborg Claimant Lawyers(s): MIchael Bessett Respondent(s): Lincoln Financial Advisors Corporation Respondent Lawyers(s): Michael W. Arnold Arbitrator(s): Susan L. Walker Hearing Site: Milwaukee, WI
18-00740	04/27/2018	Claimant(s): Chad Hartup, William Murphy Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Craig A. Vollono Arbitrator(s): Susan L. Walker Hearing Site: Cleveland, OH
16-00263	04/06/2018	Claimant(s): Richard Struve Claimant Lawyers(s): Bradley Schnur Respondent(s): Michael Lavolpe Respondent Lawyers(s): Michael Scott Lavolpe Arbitrator(s): Susan L. Walker Hearing Site: Omaha, NE		$110,780