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FINRA Awards for Thomas A. Hargett

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Case Number Award Date Case Summary Customer Case? Amount Granted
08-0362312/15/2010Claimant(s): Charlie Johnson
Claimant Lawyers(s): Thomas A. Hargett
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Patrick King
Arbitrator(s): Monette E. Draper, Raymond M. Kirtley, John Andrew Wagner
Hearing Site: Indianapolis, IN
Checkmark Icon$0
08-0230709/09/2009Claimant(s): Elsie Kelly, Raymond Kelly, Raymond O's Kelly & Elsie M. Ke U/A dtd, Raymond O's Kelly Rev Liv Trust U/A dtd
Claimant Lawyers(s): Thomas A. Hargett
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Paul H. Lamboley, Barry A. Mainardi, Darryl J. Horowitt
Hearing Site: Reno, NV
Checkmark Icon$100,080

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