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FINRA Awards for WMS Financial LLC

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0023003/06/2012Claimant(s): Joseph Lightfoot, Marilyn Lightfoot, Lightfoot Living Trust
Claimant Lawyers(s): Chris R. Youtz
Respondent(s): Joshua Swayne, William Swayne, Pacific West Financial Group, Pacific West Securities., WMS Financial LLC, WMS Financial Planners.
Respondent Lawyers(s): Chance A.E. Hodges
Arbitrator(s): William J. Bender, Peter R. Day, Clydia Jean Cuykendall
Hearing Site: Seattle, WA
Checkmark Icon$2,063,800

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