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FINRA Awards for Stephen W. Mack

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0076704/05/2018Claimant(s): Kirk Hoffman
Claimant Lawyers(s): James Malachy Meaney
Respondent(s): Dieter Huber, National Securities Corporation, Kay Johnson, Kieran Loughran, Mark Goldwasser
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Steven H. Vogel, Stephen W. Mack, Frank A. Dusek
Hearing Site: Chicago, IL
Checkmark IconExpungement
07-0076807/17/2008Claimant(s): Betty Gunn
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Jonathan Zulauf, Edward Jones
Respondent Lawyers(s): Peter B. Schaeffer, Richard P. Darke
Arbitrator(s): William H. Tobin, David J. Langseth, Stephen W. Mack
Hearing Site: Chicago, IL
Checkmark IconStipulated Award and Expungement

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