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FINRA Awards for David W. Martin

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0084208/22/2018Claimant(s): Tafney Snowden, I.R.A., Tafney Snowden and William E. Coen
Claimant Lawyers(s): William E. Coen
Respondent(s): Bernard Breton, Brett Harrison, David Martin, Gerald Harvey, Paul Ewing, Cetera Advisors LLC
Respondent Lawyers(s): John W. Shaw
Arbitrator(s): Mark S. Foster, Leonard Arthur Nelson, Lynn Hirschfeld Brahin
Hearing Site: Kansas City, MO
Checkmark IconExpungement
09-0381003/24/2011Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jeffrey Martin
Respondent Lawyers(s): Richard E. Olson
Arbitrator(s): David W. Martin, Mary E. Lockett, LeRoy Melvin Gilbertson
Hearing Site: Albuquerque, NM

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