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FINRA Awards for T. Rowe Price Investment Services.

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Displaying 4 out of 4 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0356809/13/2022Claimant(s): Estate of James W. Eggers
Claimant Lawyers(s): J. Mitchell Little
Respondent(s): T. Rowe Price Investment Services.
Respondent Lawyers(s): Daniel J Donovan
Arbitrator(s): Mary Elizabeth Skelnik, Michael Wayne Johnston, Robert Glenn Chadwick
Hearing Site: Dallas, TX
Checkmark Icon$0
19-0311505/14/2021Claimant(s): Carole Rauf
Claimant Lawyers(s): Carole Dill Rauf
Respondent(s): T. Rowe Price Investment Services., Jennifer Farmer, Romelio Flores
Respondent Lawyers(s): Daniel J. Donovan
Arbitrator(s): Lawrence W. Arness
Hearing Site: Cincinnati, OH
Checkmark Icon$2,467
17-0126010/31/2017Claimant(s): Charles Fuller
Claimant Lawyers(s): Charles Daniel Fuller
Respondent(s): T. Rowe Price Investment Services.
Respondent Lawyers(s): Daniel J. Donovan
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Baltimore, MD
14-0349810/01/2015Claimant(s): James F. Richards IRA
Claimant Lawyers(s): James F. Richards
Respondent(s): Andrew Zides, T. Rowe Price Investment Services., Daniel Nurkala, Erica Kim, Jeffrey Krawczak, Shawn Reagan
Respondent Lawyers(s): Jonathan C. Caballero
Arbitrator(s): John F. O'Neill
Hearing Site: Birmingham, AL
Checkmark Icon$7,240

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