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FINRA Awards for American Independent Securities Group

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0004809/16/2019Claimant(s): Thomas Davis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): American Independent Securities Group, L
Respondent Lawyers(s): W. Gregory Lockwood
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Portland, OR
10-0159004/06/2011Claimant(s): Mary Jo Broomfield
Claimant Lawyers(s): Robert A. Graham
Respondent(s): Suanne Jones, American Independent Securities Group
Respondent Lawyers(s): Jeffrey S. Salisbury
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
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