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FINRA Awards for Ross E. Legum

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0353101/19/2016Claimant(s): Estate of Glenny B. White
Claimant Lawyers(s): W. Edgar Spivey
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Michael J. Henke, Wesley C. Wilson, Ross E. Legum
Hearing Site: Norfolk, VA
Checkmark Icon$2,036,890
13-0184707/02/2014Claimant(s): Esther Huie, Richard Huie
Claimant Lawyers(s): W. Edgar Spivey
Respondent(s): Mark Harrop, Investors Capital Corp.
Respondent Lawyers(s): Thomas G. Nicholson
Arbitrator(s): Henry G. Plaster, Donita M. King, Ross E. Legum
Hearing Site: Norfolk, VA
Checkmark Icon$36,000

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