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FINRA Awards for Alan Lee Powell

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0297001/24/2022Claimant(s): Lars Jensen
Claimant Lawyers(s): Lance McCardle
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): George C. Freeman III
Arbitrator(s): Allan R. Lazor, Devlan Wesley Melancon, Alan Lee Powell
Hearing Site: New Orleans, LA
Checkmark IconExpungement
19-0305101/21/2022Claimant(s): Robert Ratcliff, Ratcliff Investments
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Mark A. Myers, Alan Lee Powell, James Wesley Bearden
Hearing Site: New Orleans, LA
Checkmark Icon$433,000

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