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FINRA Awards for Thompson Investment Advisors.

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Case Number Award Date Case Summary Customer Case? Amount Granted
08-0176402/05/2010Claimant(s): Kenneth A. Schwieterman
Claimant Lawyers(s): Rebecca C. Davis
Respondent(s): Charles Schwab & Co.., Thompson Investment Advisors.
Respondent Lawyers(s): Matthew F. Coogle, Philip A. McLeod
Arbitrator(s): Frederick W. Snyder, R. Van Young, Billy G. Hopkins
Hearing Site: Louisville, KY
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