FINRA Awards for Charles M Thompson

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

Displaying 1 out of 1 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
18-03985	04/14/2022	Claimant(s): Johana Gerheim, Richard Bucci, Richard Bucci as Cust for Caroline Bucci, Richard Bucci as Cust for Johana A Bucci, Richard Bucci Ameriprise One Financial, Richard Bucci Cash Reserve Certificate, Richard Bucci IRA Strategic Portfolio, Richard Bucci RiverSource Flex Portfolio, Richard Bucci Rollover IRA RiverSource, Richard Bucci Roth Conv IRA 0002461455, Richard Bucci Roth Conv IRA Ameriprise, Richard Bucci Roth Conv IRA RiverSource, Richard Bucci Roth Conv IRA Strategic, Richard Bucci SEP IRA 0002461454 Ameripr, Richard Bucci SEP IRA 0002461454 Strateg, Richard Bucci SEP IRA Ameriprise Brokera, Richard Bucci SEP IRA StrategicPortfolio, Richard Bucci SPS Advantage With One, Richard Bucci MD Living Trust Ameriprise, Richard Bucci MD Living Trust SPS Advant Claimant Lawyers(s): Charles M Thompson Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Sydney H. Crowder Arbitrator(s): Karen Roberts Washington, Orville Barrington Wright, Glenn Ivan Mazer Hearing Site: Birmingham, AL		Expungement