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FINRA Awards for Leonard Arthur Nelson

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Displaying 11-20 out of 42 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0002101/06/2022Claimant(s): Dierdre Hallick, Mark Hallick
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Securities America., Investacorp Inc., Stephen Lawler, First Allied Securities.
Respondent Lawyers(s): Justin Sacca, Sean T. Needham
Arbitrator(s): Leonard Arthur Nelson, Jonathan B. Gilbert, Stuart W. Smith
Hearing Site: Chicago, IL
Checkmark IconDismissed by Rule 12206
20-0312611/18/2021Claimant(s): James Freund, IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Leonard Arthur Nelson, Sally J. Wiggins, Maxwell Charles Livingston
Hearing Site: Milwaukee, WI
Checkmark Icon$0
16-0282511/05/2021Claimant(s): David Hirsch, James Kelly, James Whitney, Mark Hutchinson, Mary DiChristofano, Michael Board, Michael Sakach, Paul Vandenheuvel
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Brian E. Spang
Arbitrator(s): Steven H. Vogel, Leonard Arthur Nelson, Richard Lane Miller
Hearing Site: Chicago, IL
20-0362009/14/2021Claimant(s): Marketing Concepts Group 401(K) & Profit
Claimant Lawyers(s): Donald A. Murday
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Chicago, IL
Checkmark Icon$8,130
20-0299406/15/2021Claimant(s): Jodi Miller-Hammes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Minneapolis, MN
20-0373405/20/2021Claimant(s): Craig McFadden, Heidi Faber-McFadden, beneficiary, IRA FBO Craig W. McFadden
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Alexander A. Truitt
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Milwaukee, WI
Checkmark Icon$0
20-0178901/14/2021Claimant(s): Kyle Stone
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Edward Jones
Respondent Lawyers(s): Annie Zaffuto
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Chicago, IL
20-0132801/13/2021Claimant(s): Gary Tangwall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Jeffrey A. Ziesman
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Minneapolis, MN
18-0352808/21/2020Claimant(s): James Harting Trust
Claimant Lawyers(s): James R. Harting
Respondent(s): Timothy Rice, First Allied Securities., Lakeside Wealth Management Group
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Charles Orlove, Leonard Arthur Nelson, Theresa A Gillerlain
Hearing Site: Chicago, IL
Checkmark Icon$0
18-0261503/10/2020Claimant(s): Francisco Guadalupe
Claimant Lawyers(s): Brittany Weiner
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Frederic M. Rizzo, Leonard Arthur Nelson, David Michael Rafferty
Hearing Site: Chicago, IL

42 Results

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