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FINRA Awards for First Southwest Company

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0420509/04/2012Claimant(s): Jerry Stiffel
Claimant Lawyers(s): Jerry Stiffel
Respondent(s): First Southwest Company
Respondent Lawyers(s): David B. Dyer
Arbitrator(s): Mark C. Perry, John J. Phelan, Myron S. Dunay
Hearing Site: Boca Raton, FL
Checkmark Icon$0
09-0664911/12/2010Claimant(s): First Southwest Company
Claimant Lawyers(s): Christopher R. Richie
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Peter J. Conlon, Linda B. Kelly, Robert E. Treadaway
Hearing Site: Dallas, TX

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