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FINRA Awards for Carol H. Li

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0164811/13/2015Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H. Li
Respondent(s): Quentin Robb
Respondent Lawyers(s): Quentin Leroy Robb
Arbitrator(s): Susan L. Walker
Hearing Site: Denver, CO
14-0355211/05/2015Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H. Li
Respondent(s): Ralph Goodman
Respondent Lawyers(s): Ralph Ustin Goodman
Arbitrator(s): David R. Foley
Hearing Site: Syracuse, NY
14-0317009/01/2015Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H. Li
Respondent(s): Elizabeth Smith
Respondent Lawyers(s): Elizabeth Smith
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
14-0355306/02/2015Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H. Li
Respondent(s): Jeffrey Wesson
Respondent Lawyers(s): Jeffrey Leo Wesson
Arbitrator(s): Thomas C. Tretter
Hearing Site: Manchester, NH
13-0324704/03/2014Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H. Li
Respondent(s): Robert Matarazzo
Respondent Lawyers(s): Robert John Matarazzo
Arbitrator(s): Frank Brenner
Hearing Site: Tampa, FL

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