FINRA Awards for Al Van Kampen

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 6 out of 6 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
17-02027	05/02/2018	Claimant(s): Kunjlata Mehta Claimant Lawyers(s): Al Van Kampen Respondent(s): Waddell & Reed Respondent Lawyers(s): Meghan H. Pietoso Arbitrator(s): John M. Casey Hearing Site: Seattle, WA		$54,192
17-02555	04/19/2018	Claimant(s): Catherine Duvic, Donald Guinee, Isabel Bannon, Laura Sporl-Currens Claimant Lawyers(s): Al Van Kampen Respondent(s): Morgan Stanley Respondent Lawyers(s): Kimberly J. Gustafson Arbitrator(s): G. E. Craig Doupe Hearing Site: Seattle, WA		$42,093
15-00666	07/26/2016	Claimant(s): Megumi Sherrill, Richard Sherrill Claimant Lawyers(s): Al Van Kampen Respondent(s): Leslie Cannon, Estate of Robert A. Cannon Respondent Lawyers(s): Dan J. Oates Arbitrator(s): William J. Bender, Jonathan H. Krotinger, Jane Ann McKenzie Hearing Site: Seattle, WA		$0
12-03718	05/28/2014	Claimant(s): Marcia Baker Claimant Lawyers(s): Al Van Kampen Respondent(s): Kenneth George Respondent Lawyers(s): Joel Wright Arbitrator(s): John F. Cockburn, Roy J. Moceri, Craig Charles Beles Hearing Site: Seattle, WA		Expungement
11-01811	11/01/2011	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Jessica G. Klein Respondent(s): John Monaghan Respondent Lawyers(s): Al Van Kampen Arbitrator(s): Lawrence E. Little Hearing Site: Seattle, WA
09-04019	07/30/2010	Claimant(s): Marcia Baker Claimant Lawyers(s): Al Van Kampen Respondent(s): William Savary, Global Trading Group. Respondent Lawyers(s): William Savary Arbitrator(s): Thomas R. Dreiling, Kim D. Stephens, Courtland T. Shafer Hearing Site: Seattle, WA