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FINRA Awards for Katy Chen Roth IRA

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0327708/05/2011Claimant(s): Claire Chen Custodial Account, Joelle Chen Custodial Account, Marcus Chen Custodial Account, Katy Chen Roth IRA, Teh Chen Roth IRA, Katy Chen and Ten Chen JT
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Emily B. Boote
Hearing Site: Minneapolis, MN
Checkmark IconExpungement

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