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FINRA Awards for Stephen M. Cox

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Displaying 11-12 out of 12 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0048606/06/2012Claimant(s): Steven Smith as Personal Representative
Claimant Lawyers(s): Elizabeth Zeck
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Helen E. Huyler, Walter J. Wylie, Dana R. Krajack
Hearing Site: Columbia, SC
Checkmark IconExpungement
10-0205504/27/2012Claimant(s): Ronald Phillips
Claimant Lawyers(s): Richard B Fosher
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Ralph S. Paden, John D. Mattingly, John G. Shamp
Hearing Site: Columbia, SC
Checkmark IconExpungement

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