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FINRA Awards for Kelly K. Herren

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0328803/02/2015Claimant(s): Mohamed Ahmed, Mohamed Ahmed IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Tricor Financial
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Kelly K. Herren, Michael G. Clark, Paul E. Dahlman
Hearing Site: Las Vegas, NV
Checkmark Icon$184,391
12-0358402/03/2014Claimant(s): Todd Parriott Trust U/T/D 10-11-2005
Claimant Lawyers(s): M. Nelson Segel
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Douglas Edwards, Kelly K. Herren, Richard R. Edmister
Hearing Site: Las Vegas, NV
Checkmark IconExpungement

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