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FINRA Awards for Kathy Walters

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0120711/12/2018Claimant(s): Kathy Walters
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Richard E. Miley, Dwane Edward Vickstrom, Richard Francis Kane
Hearing Site: Charlotte, NC
Checkmark Icon$129,058

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