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FINRA Awards for Mark C. Watler

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Displaying 10 out of 16 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0292803/02/2023Claimant(s): Donald Tetrault
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameritas Investment Company
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Mark C Watler, Alan M. Holzberg, Charles John McBride
Hearing Site: Houston, TX
Checkmark IconDismissed by Rule 12206
20-0353901/23/2023Claimant(s): Alan Niemann
Claimant Lawyers(s): William D. Kellen
Respondent(s): Brian Heapps
Respondent Lawyers(s): Spencer Smith
Arbitrator(s): Dennis S. Boxeur, Mark C Watler, Diane Shafer Goldschmidt
Hearing Site: Oklahoma City, OK
21-0230304/25/2022Claimant(s): Michelle Coble
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Msi Financial Services.
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Mark C Watler
Hearing Site: Oklahoma City, OK
20-0332404/22/2022Claimant(s): Ardine Jones, Buddy Jones, Ledger Fisse, Ron Carlos, Sharon Fisse
Claimant Lawyers(s): Ardine Jones, Benjamin Edwards, Buddy Jones, Ledger J. Fisse
Respondent(s): Gilberto Briseno
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Mark C Watler, Richard William Cryar, Ralph Hamilton Schofield
Hearing Site: New Orleans, LA
Checkmark IconExpungement
18-0335504/09/2021Claimant(s): Jeffrey Houston
Claimant Lawyers(s): Kell A. Simon
Respondent(s): Navidar Group LLC, Navidar Holdco LLC, Navidar LLC
Respondent Lawyers(s): Eric Lipper
Arbitrator(s): Mark C Watler, Patricia Fenix Bastine, Nohayia Javed
Hearing Site: Houston, TX
19-0117403/25/2020Claimant(s): Stanley Keyes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kovack Securities Inc, FSC Securities Corporation
Respondent Lawyers(s): Amy S. Towle, James V. Noblett
Arbitrator(s): Mark C Watler
Hearing Site: New Orleans, LA
18-0209812/24/2019Claimant(s): John E. Donaldson Investments
Claimant Lawyers(s): Jeffrey S. Eisenberg
Respondent(s): Craig Taddonio, John Stapleton, Craig Scott Capital
Respondent Lawyers(s): Brian J. Davis, Craig Scott Taddonio, Craig Taddonio
Arbitrator(s): Bill Lamoreaux, Mark C Watler, Robert L. Chisolm
Hearing Site: Oklahoma City, OK
Checkmark Icon$0
19-0015810/15/2019Claimant(s): Aaron Ogea
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Carolyn D. Roch
Arbitrator(s): Mark C Watler
Hearing Site: New Orleans, LA
19-0010709/27/2019Claimant(s): Gilberto Briseno
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Mark C Watler
Hearing Site: New Orleans, LA
18-0152901/31/2019Claimant(s): John McDonough
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors
Respondent Lawyers(s): Eileen Stassa
Arbitrator(s): Mark C. Watler
Hearing Site: Houston, TX

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