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FINRA Awards for Carol Ann Anderson

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0549705/23/2011Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward B. Magarian
Respondent(s): David Bekenstein
Respondent Lawyers(s): Willard Knox
Arbitrator(s): Joseph A. Kenary, Carol Ann Anderson, Mark Cammann Pyle
Hearing Site: Washington, DC
09-0523602/09/2011Claimant(s): Gilbert Kuta
Claimant Lawyers(s): Patrick G. Finegan
Respondent(s): John Taft, Patrick Vaughan, RBC Capital Markets LLC, Todd Schnell, Walter Crowell
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Paul Davis Pearlstein, Carol Ann Anderson, Simon Zhou Wu
Hearing Site: Washington, DC

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