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FINRA Awards for Thomas K. Caldwell

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0127102/08/2017Claimant(s): Lawrence Klenk, Melanie Klenk, The Trust of Delores M. Young
Claimant Lawyers(s): Thomas K. Caldwell
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Timothy J. Currier
Hearing Site: Detroit, MI
Checkmark Icon$0
13-0278910/05/2015Claimant(s): Robert Dembosky
Claimant Lawyers(s): Thomas K. Caldwell
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Timothy J. Currier, Mayra Adela Rodriguez, William Joseph Caprathe
Hearing Site: Detroit, MI
Checkmark Icon$159,923
14-0098906/29/2015Claimant(s): Patricia Marshall Revocable Trust
Claimant Lawyers(s): Thomas K. Caldwell
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Robert J. Scafuri, Jacqueline R. Fox, Betty R. Widgeon
Hearing Site: Detroit, MI
Checkmark IconExpungement

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