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FINRA Awards for Rapid City, SD

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Displaying 11-13 out of 13 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0204712/16/2010Claimant(s): Michael Lees
Claimant Lawyers(s): Michael A Lees
Respondent(s): Richard Pollan, Morgan Wilshire Securities.
Respondent Lawyers(s): Michael Finnan, Richard Douglas Pollan
Arbitrator(s): William B. Ross
Hearing Site: Rapid City, SD
Checkmark Icon$764
09-0484102/02/2010Claimant(s): Variable Investment Advisors.
Claimant Lawyers(s): Gregory S. Wilson
Respondent(s): Cynthia Stevens-Montgomery
Respondent Lawyers(s): Cynthia Marie Stevens-Montgomery
Arbitrator(s): John W. MacKimm
Hearing Site: Rapid City, SD
05-0497411/14/2007Claimant(s): Jennifer Jensen, Jody Jensen
Claimant Lawyers(s): Lawrence L. Klayman
Respondent(s): Spectrum Capital.
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Emily B. Boote, Scott R. Jensen, Sandra L. Shearer
Hearing Site: Rapid City, SD
Checkmark Icon$20,000

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