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FINRA Awards for Stephen M. Slavin

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0225102/14/2014Claimant(s): Heinz Kloppenberg
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): SII Investments.
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): David J. Langseth, Josette Belvedere, Stephen M. Slavin
Hearing Site: Chicago, IL
Checkmark IconExpungement
09-0169101/27/2011Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): James Dingle
Respondent Lawyers(s): Alan Block
Arbitrator(s): Robert B. Schmidt, Richard J. Belmonte, Stephen M. Slavin
Hearing Site: Chicago, IL

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