FINRA Awards for Peter B. Vaden

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Displaying 8 out of 8 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
14-01781	10/09/2014	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Alex M. Komoroski Respondent(s): Jeffrey Whitaker Respondent Lawyers(s): Jeffrey Lee Whitaker Arbitrator(s): Peter B. Vaden Hearing Site: Norfolk, VA
11-00720	05/14/2012	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Andrew R. Park Respondent(s): Mark Magnone Respondent Lawyers(s): William A. Healy Arbitrator(s): Peter B. Vaden, Laurence M. Scoville, William James Russell Hearing Site: Norfolk, VA
11-00139	11/21/2011	Claimant(s): Janney Montgomery Scott LLC Claimant Lawyers(s): Jill B. Clarke Respondent(s): Bradlee Hager Respondent Lawyers(s): Bradlee P. Hager Arbitrator(s): Peter B. Vaden Hearing Site: Raleigh, NC
10-01650	05/18/2011	Claimant(s): RBC Capital Markets LLC Claimant Lawyers(s): Joseph F. Keenan Respondent(s): Cecil Creasy Respondent Lawyers(s): J. Anthony Penry Arbitrator(s): Peter B. Vaden, Fred Kelner, Dwayne Thomas McKinley Hearing Site: Raleigh, NC
10-01620	05/05/2011	Claimant(s): Donald Eckrod Claimant Lawyers(s): W. Scott Greco Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): John Bersin Arbitrator(s): Peter B. Vaden, Timothy P. Bogan, Christopher M. McMurray Hearing Site: Richmond, VA		Expungement
10-05050	03/07/2011	Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Edward C. Nowak Respondent(s): Robert Isom Respondent Lawyers(s): Robert C. Isom Arbitrator(s): Peter B. Vaden Hearing Site: Columbia, SC
10-03358	12/07/2010	Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Gregg W. Marsano Respondent(s): David Bredenburg Respondent Lawyers(s): David Bredenburg Arbitrator(s): Peter B. Vaden Hearing Site: Baltimore, MD
09-00745	01/08/2010	Claimant(s): E. Gunter Claimant Lawyers(s): W. Scott Greco Respondent(s): Michael Segal, Steve Morris, Thomas ONeill, Whitaker Securities LLC Respondent Lawyers(s): Robert M. Bursky Arbitrator(s): Peter B. Vaden, William F. Etherington, John Kevin Williams Hearing Site: Richmond, VA		Stipulated Award