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FINRA Awards for Todd Schwartz

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0396212/24/2019Claimant(s): The Ilgvars J. Zallaps Family Trust
Claimant Lawyers(s): Steve A. Miller
Respondent(s): Garner Mabry, Wells Fargo Advisors Financial Network, Merrill Lynch Pierce Fenner & Smith Inc., Todd Schwartz, Schwartz Mabry Private Wealth Advisory
Respondent Lawyers(s): Bruce W. Day, Julie E. Ravis, William D. Nelson
Arbitrator(s): Jo-Marie Lisa, Baldwin Ranson, Tina Alison Davis
Hearing Site: Denver, CO
Checkmark IconDismissed by Rule 12206/12504
10-0130708/31/2011Claimant(s): Morgan Stanley
Claimant Lawyers(s): Lauren R. Fox
Respondent(s): Garner Mabry, Todd Schwartz
Respondent Lawyers(s): John E. MacDonald
Arbitrator(s): Langdon T. Owen, Charles G. Michaels, William A. Stephenson
Hearing Site: Denver, CO

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