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FINRA Awards for Stephen J. Taddie

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0079307/30/2013Claimant(s): Philip Lovell, Philip Lovell Pension Plan, The Lovell Family Trusts
Claimant Lawyers(s): Marc Seldin Rosen
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Stephen J. Taddie, Ernest F. Modzelewski, Aryka Steele Radke
Hearing Site: Phoenix, AZ
Checkmark Icon$1,802,510
10-0082004/12/2012Claimant(s): Ricky Stark
Claimant Lawyers(s): Gerald Maltz
Respondent(s): James Stark, UBS Financial Services Inc.
Respondent Lawyers(s): Gerald Maltz, Philip A. Fortino
Arbitrator(s): Stephen J. Taddie, Eugene R. Nielson, James M. Arkoosh
Hearing Site: Phoenix, AZ
09-0579710/14/2010Claimant(s): Christopher Durham, Norris Durham, Durham Family Trust dated 10/30/96, Durham Family Trust of Scottsdale, AZ
Claimant Lawyers(s): Shana M. Rugani
Respondent(s): Glenn Foerster, Pamela Lawson, Robert Lawson, Lawson Financial Corporation
Respondent Lawyers(s): Michael Freedman
Arbitrator(s): Stephen J. Taddie, W. Michael Kelley, Steven M. Guttell
Hearing Site: Phoenix, AZ
Checkmark Icon$277,500
07-0226602/10/2009Claimant(s): Sagepoint Financial.
Claimant Lawyers(s): Barry R. Temkin
Respondent(s): Laron Shannon
Respondent Lawyers(s): Laron D. Shannon
Arbitrator(s): Richard B. Bequette, Stephen J. Taddie, Stephanie P. Lebhar
Hearing Site: Phoenix, AZ

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