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FINRA Awards for Charles Pfeiffer

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0002212/02/2016Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Janelle E. Fulton
Respondent(s): Charles Pfeiffer
Respondent Lawyers(s): Charles Pfeiffer
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
12-0143711/19/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Don R. Boswell
Respondent(s): Charles Pfeiffer
Respondent Lawyers(s): Charles Pfeiffer
Arbitrator(s): Gary M. Landau
Hearing Site: Boca Raton, FL

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