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FINRA Awards for Carrie L. Lathrop

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0263011/12/2018Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Carrie L. Lathrop
Respondent(s): Kermit Gable
Respondent Lawyers(s): Kermit Gordon Gable
Arbitrator(s): Arthur H. Geffen, Anthony William (Bill) Kashouty, Bill Lamoreaux
Hearing Site: Dallas, TX
17-0112012/22/2017Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Carrie L. Lathrop
Respondent(s): Thomas Ambrose
Respondent Lawyers(s): Thomas Kevin Ambrose
Arbitrator(s): Morton S. Bunis
Hearing Site: Wilmington, DE
17-0177811/07/2017Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Carrie L. Lathrop
Respondent(s): Terry Bahgat
Respondent Lawyers(s): Terry Dean Bahgat
Arbitrator(s): Robert J. Scafuri
Hearing Site: Buffalo, NY

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