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FINRA Awards for Samco Capital Markets.

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0344305/06/2021Claimant(s): Roger Engemoen
Claimant Lawyers(s): Jessica J. Mannon
Respondent(s): Samco Capital Markets.
Respondent Lawyers(s): Joel B. Bailey
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
19-0095112/16/2019Claimant(s): Roger Engemoen
Claimant Lawyers(s): Erin M. Brewer
Respondent(s): Samco Capital Markets.
Respondent Lawyers(s): Joel B. Bailey
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
18-0193811/07/2019Claimant(s): Samco Capital Markets.
Claimant Lawyers(s): Jason M. Hopkins
Respondent(s): Apex Clearing Corporation
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Harry J Saginaw, Richard Frederick Schaufert, Oddur Sigurdsson
Hearing Site: Dallas, TX

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