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FINRA Awards for Wunderlich Securities.

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Displaying 11-14 out of 14 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0039110/04/2012Claimant(s): Karen Purdie
Claimant Lawyers(s): Karen E Purdie
Respondent(s): Wunderlich Securities.
Respondent Lawyers(s): Mark D. Griffin
Arbitrator(s): Annette B. Meyers, David S. Paul, Albert L. Akerman
Hearing Site: New York, NY
11-0020309/12/2011Claimant(s): Isidore Kaplan
Claimant Lawyers(s): Robert L. Yeager
Respondent(s): Capital Securities Of America., Wunderlich Securities.
Respondent Lawyers(s): Mark D. Griffin
Arbitrator(s): Michael E. Rohde
Hearing Site: Dallas, TX
08-0077306/24/2009Claimant(s): Natalie Bram, Natalie Bram Living Trust
Claimant Lawyers(s): Theodore M. Davis
Respondent(s): Baruch Coleman, Jerry Cline, Capital Securities of America., Wunderlich Securities.
Respondent Lawyers(s): Baruch Coleman, Steven E. Mellen
Arbitrator(s): David Ellis, Steven R. Rolnick, C. Henry Lucas
Hearing Site: Hartford, CT
Checkmark Icon$228,200
08-0294503/12/2009Claimant(s): Michael Casey
Claimant Lawyers(s): Michael W. Casey
Respondent(s): Kraig Pivnick, Michael Nocella, Wunderlich Securities.
Respondent Lawyers(s): Kraig Barrence Pivnick, Lori H. Patterson, Stephen B. Wexler
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
Checkmark Icon$0

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