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FINRA Awards for Executive Wealth Management

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0083505/01/2015Claimant(s): Keith Williams
Claimant Lawyers(s): Nicole M. Marshall
Respondent(s): Royal Alliance Associates., Peter Mitroff, Executive Wealth Management
Respondent Lawyers(s): Khalilah V. Spencer, Seth D. Gould
Arbitrator(s): Edward M. Olson, Timothy J. Currier, Richard Heim Foley
Hearing Site: Detroit, MI
Checkmark Icon$0
14-0054512/02/2014Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Suchitra Busch, Executive Wealth Management
Respondent Lawyers(s): David H. Jarvis, Tara E. Mahoney
Arbitrator(s): Peter S. Viviano, Tracy L. Allen, Charlene Johnson
Hearing Site: Detroit, MI

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