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FINRA Awards for Thomas C. Tretter

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Displaying 10 out of 13 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0366212/07/2021Claimant(s): Lowell Hart
Claimant Lawyers(s): John A. Mangones
Respondent(s): State Farm VP Management Corp.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Thomas C. Tretter, William Norton, Peter Andrew Marx
Hearing Site: Manchester, NH
20-0251104/13/2021Claimant(s): Beverly Ketel
Claimant Lawyers(s): Beverly Marie Ketel
Respondent(s): Citizens Securities.
Respondent Lawyers(s): Geoffrey W. Millsom
Arbitrator(s): Thomas C. Tretter, Linda J. Baer, Edward W. Morris
Hearing Site: Manchester, NH
16-0309010/31/2017Claimant(s): Allen Waters
Claimant Lawyers(s): Allen Rodney Waters
Respondent(s): TIAA-CREF Individual & Institutional Ser
Respondent Lawyers(s): Cora E. MacLean
Arbitrator(s): Thomas C. Tretter, Andrea J. Goldman, James R. Collins
Hearing Site: Boston, MA
14-0352807/26/2016Claimant(s): Kevin Hanna
Claimant Lawyers(s): Warren D. Hutchison
Respondent(s): Bradley Ross, UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Sandor I. Rabkin, Catherine M. Gallagher, Thomas C. Tretter
Hearing Site: Boston, MA
Checkmark Icon$225,000
15-0041912/02/2015Claimant(s): Gary Breda
Claimant Lawyers(s): Megan Christensen
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): J. Burke McCormick
Arbitrator(s): Thomas C. Tretter, Joseph Peter Colonna, Phillip Alden Hofling
Hearing Site: Boston, MA
12-0327011/25/2015Claimant(s): Leona Tigar, Michael Tigar, Tigar Refrigeration Co..
Claimant Lawyers(s): Stephen Wald
Respondent(s): UBS Financial Services Inc., UBS Global Asset Management (US) Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Chesley Oriel, Colette Manoil, Thomas C. Tretter
Hearing Site: Boston, MA
Checkmark Icon$0
13-0125309/24/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Hilary O'Malley
Respondent Lawyers(s): Hilary O'Malley
Arbitrator(s): Thomas C. Tretter
Hearing Site: Boston, MA
14-0355306/02/2015Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H. Li
Respondent(s): Jeffrey Wesson
Respondent Lawyers(s): Jeffrey Leo Wesson
Arbitrator(s): Thomas C. Tretter
Hearing Site: Manchester, NH
13-0054211/06/2014Claimant(s): John and Alys Krichavsky, Ken and Judith Boudreau
Claimant Lawyers(s): Edward Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles J. Weinstein
Arbitrator(s): Thomas C. Tretter, Robert M. Singer, Edward Allison Downe
Hearing Site: Hartford, CT
Checkmark IconExpungement
12-0411707/25/2014Claimant(s): Joel Haycock
Claimant Lawyers(s): Matthew J. Tuttle
Respondent(s): Detwiler Fenton & Co.
Respondent Lawyers(s): Warren D. Hutchison
Arbitrator(s): Ronald L. Cheney, David Ellis, Thomas C. Tretter
Hearing Site: Boston, MA
Checkmark Icon$952,560

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