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FINRA Awards for Paul Clayton

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0080104/04/2012Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Samuel E. Endicott
Respondent(s): David Chapman, Paul Clayton, Sheri Chapman, Sherry West, EPWM Group.
Respondent Lawyers(s): Brian S. Harnikorate Officer, Michael P. McCloskey, Michael T. Conway
Arbitrator(s): Harvey C. Flodin, Guenter S. Cohn, James A. Bush
Hearing Site: San Diego, CA
05-0023812/04/2007Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Paul Clayton
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Robert W. Vernon, Paul J. Sipe, Barry E. Kersh
Hearing Site: San Diego, CA

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