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FINRA Awards for OBO IRA

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0071303/21/2023Claimant(s): Cary Kneedler, Delphine Baucom, Delphine N. Baucom as Sole Member of, Carry Kneedler, OBO IRA, Delphine Noble Baucom, General Partner, Delphine Noble Baucom. Sole Benefiary of
Claimant Lawyers(s): Frank C. Breese
Respondent(s): Wells Fargo Clearing Services, T. Robertson, William Haas
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): John P. Cullem, Langfred W. White, Susan G. Pinkston
Hearing Site: Jackson, MS
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