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FINRA Awards for Charles D. Underwood

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Displaying 11-13 out of 13 results
Case Number Award Date Case Summary Customer Case? Amount Granted
08-0082405/22/2009Claimant(s): David Yashon
Claimant Lawyers(s): David Yashon
Respondent(s): Brent Markley, Michael O'Dell, A.G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff, James C. Browning
Arbitrator(s): Jeffrey M. Bain, Charles D. Underwood, Erick R. Zanner
Hearing Site: Columbus, OH
Checkmark Icon$46,000
07-0228009/10/2008Claimant(s): Charles Kromer
Claimant Lawyers(s): Megan Clark
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): David K. Montgomery
Arbitrator(s): Charles D. Underwood, Debora A. Caley, Christy K. Radigan
Hearing Site: Cincinnati, OH
08-0020708/08/2008Claimant(s): Milton Leeman
Claimant Lawyers(s): W. Scott Turnbull
Respondent(s): George Babyak
Respondent Lawyers(s): Jennie K. Ferguson
Arbitrator(s): Charles D. Underwood, Christy K. Radigan, Matthew Harold Fields
Hearing Site: Columbus, OH
Expungement

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