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FINRA Awards for Keith E. Mattern

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0292806/24/2014Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Shira Forman
Respondent(s): Kieran Gutting
Respondent Lawyers(s): Anthony S. Bretz
Arbitrator(s): Keith E. Mattern
Hearing Site: St. Louis, MO
13-0021705/21/2014Claimant(s): Michael Bross
Claimant Lawyers(s): James S. McCarthy
Respondent(s): Anastasios Belesis, John Thomas Financial
Respondent Lawyers(s): Anastasios P. Belesis, Company President
Arbitrator(s): Keith E. Mattern, Daniel J. Marsh, David Cottingham Mann
Hearing Site: St. Louis, MO
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13-0123311/08/2013Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): William Schmitt
Respondent(s): Debra Massey
Respondent Lawyers(s): Thomas C. Mann
Arbitrator(s): Keith E. Mattern
Hearing Site: Kansas City, MO
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10-0210909/13/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Susan Steckler
Respondent Lawyers(s): Susan Nell Rowe
Arbitrator(s): Keith E. Mattern
Hearing Site: St. Louis, MO
07-0317804/16/2008Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): David Pool
Respondent Lawyers(s): David Pool
Arbitrator(s): Keith E. Mattern
Hearing Site: St. Louis, MO
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