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FINRA Awards for David Freeman

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0172804/02/2015Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette P Morales
Respondent(s): John l. Norris Rollover, Vivianne Norris IRA Rollover, John L. Norris and Vivianne Norris JT TE
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): Coleman Robert Perry, C. Sumpter Logan, David Freeman
Hearing Site: Birmingham, AL
Expungement
12-0148312/19/2012Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Big Swell f/k/a Tovar., Nathan Phillip Friedlander SEP-IRA, Nathan & Joan Friedlander Joint Tenant, Harris Friedland Trust dd 7/25/1989
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): C. Sumpter Logan, David Freeman
Hearing Site: Birmingham, AL
Expungement
11-0390612/10/2012Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Ronny Powell
Respondent Lawyers(s): Ronny W. Powell
Arbitrator(s): Marshal H. Emerson, John F. O'Neill, David Freeman
Hearing Site: Birmingham, AL
08-0300612/29/2010Claimant(s): Bradford Guthrie, Mary Guthrie
Claimant Lawyers(s): Bradford G. Guthrie, Mary M. Guthrie
Respondent(s): Harold Hays, John Hand, Merrill Lynch Pierce Fenner & Smith Inc., Rick Lessley, Robert Jurkiewicz
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): George A. Sawyer, Prince C. Chambliss, David Freeman
Hearing Site: Birmingham, AL
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