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FINRA Awards for LaVon C. Phillips

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Case Number Award Date Case Summary Customer Case? Amount Granted
24-0005910/09/2024Claimant(s): Doris Schake, Jason Schake
Claimant Lawyers(s): Doris Schake
Respondent(s): OSAIC Wealth
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Peter N. Thompson, LaVon C. Phillips, Ansis Viksnins
Hearing Site: Minneapolis, MN
Checkmark Icon$0
21-0218612/12/2022Claimant(s): Ronald Gagnon
Claimant Lawyers(s): Robert Kerrigan
Respondent(s): Worden Capital Management LLC, Jamie Worden, Michael Rosalia
Respondent Lawyers(s): Bruce Lewitas, Jamie John Worden, Michael Richard Rosalia
Arbitrator(s): LaVon C. Phillips, Grant D. Sanders, Frank Edward Hermann
Hearing Site: Minneapolis, MN
Checkmark Icon$130,000
20-0207212/10/2020Claimant(s): Michael Koob
Claimant Lawyers(s): Ansis V. Viksnins
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Barry Goldman, LaVon C. Phillips, Matthew E. Piermantier
Hearing Site: Minneapolis, MN

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