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FINRA Awards for U.S. Bancorp Investments.

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Displaying 51-60 out of 95 results
Case Number Award Date Case Summary Customer Case? Amount Granted
13-0195602/12/2015Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Kevin Cloutier
Respondent(s): Ritchey Wetzel
Respondent Lawyers(s): Ritchey Wetzel
Arbitrator(s): Albert J. Haller
Hearing Site: Kansas City, MO
13-0322802/06/2015Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric Raphan
Respondent(s): Christopher Wilkinson
Respondent Lawyers(s): Brennan H. Moss
Arbitrator(s): Langdon T. Owen, Gene R. Thornton, A. O. Headman
Hearing Site: Salt Lake City, UT
13-0359011/28/2014Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Brian Murphy
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Kathy A. Tatone, Robert D. Lawson, Mary Ellen McGinnis
Hearing Site: Minneapolis, MN
12-0248410/09/2014Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Ashley T. Hirano
Respondent(s): Bradley Schmitt
Respondent Lawyers(s): Kevin J. Mirch
Arbitrator(s): Thomas Erique DuVoisin, Michael D. Briggs, Robert E. Witt
Hearing Site: San Diego, CA
14-0025108/14/2014Claimant(s): Todd Leigh and Lisa Leigh
Claimant Lawyers(s): Todd Leigh
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): Charles Orlove
Hearing Site: Indianapolis, IN
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13-0366107/02/2014Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Jonathan Sokolowski
Respondent(s): Kenneth Koger
Respondent Lawyers(s): Kenneth Ray Koger
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Chicago, IL
13-0292806/24/2014Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Shira Forman
Respondent(s): Kieran Gutting
Respondent Lawyers(s): Anthony S. Bretz
Arbitrator(s): Keith E. Mattern
Hearing Site: St. Louis, MO
13-0058305/16/2014Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Kevin Cloutier
Respondent(s): Ernest Newman
Respondent Lawyers(s): Thomas F. Asch
Arbitrator(s): Jeffrey W. Finke, Marilee Roberg, Gregory Allen Nie
Hearing Site: Chicago, IL
13-0366005/15/2014Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Jonathan Sokolowski
Respondent(s): Patrick Sullivan
Respondent Lawyers(s): Patrick Joseph Sullivan
Arbitrator(s): Thomas C. Wagner
Hearing Site: Cincinnati, OH
12-0416204/03/2014Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Rena Andoh
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): James D. Knotter, James Sean Healey, Robert H. Ottesen
Hearing Site: Albuquerque, NM

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