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FINRA Awards for David K. Montgomery

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0217502/17/2022Claimant(s): Michael Holland
Claimant Lawyers(s): Michael Bessette
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): David K. Montgomery
Arbitrator(s): Joyce A. Mitchell, James Howell Garrison, Stephen Edwin Anderson
Hearing Site: Charlotte, NC
13-0230904/14/2015Claimant(s): Carter Garnon
Claimant Lawyers(s): Adam P Richards
Respondent(s): NYLife Securities LLC, Thomas Krach, New York Life Insurance Company, New York Life Insurance and Annuity Comp
Respondent Lawyers(s): David K. Montgomery
Arbitrator(s): Charles D. Underwood, John C. Aten, Matthew Harold Fields
Hearing Site: Columbus, OH
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

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