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FINRA Awards for Todd J. Kaiser

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0405809/11/2013Claimant(s):
Claimant Lawyers(s):
Respondent(s): Eric Cook, John Cate, Matthew Burton, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David J. Carr, Timothy K. Ryan, Todd J. Kaiser
Arbitrator(s): Paul Lansing, Mary Ellen Backer, F. Bradford Johnson
Hearing Site: Indianapolis, IN
07-0274211/03/2008Claimant(s): A.G. Edwards & Sons.
Claimant Lawyers(s): Alicia Etre
Respondent(s): Gene Harshman, Karen Loeschen, Krista Savage, Merrill Lynch Pierce Fenner & Smith Inc., Richard Marcolla, Robert Barry, Thomas Cutrone, William Easterling
Respondent Lawyers(s): Curtis C. Calloway, Todd J. Kaiser
Arbitrator(s): John N. Reidy, Frederick Michael Switzer, John Bruce Witwer
Hearing Site: St. Louis, MO
Checkmark Icon$265,500

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