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FINRA Awards for Walter L. Baumgardner

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0011305/02/2019Claimant(s): Paul Doetsch
Claimant Lawyers(s): Walter L. Baumgardner
Respondent(s): Judith Villarreal, Raymond Pett
Respondent Lawyers(s): Mohamed Awan
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Detroit, MI
Checkmark IconExpungement
13-0273902/02/2015Claimant(s): Edward Kraus, Sandra Kraus
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): Carlos Dominguez, Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff, Walter L. Baumgardner
Arbitrator(s): Judith Stilz Ogden, John D. Mattingly, Yvette L. Nurse
Hearing Site: Atlanta, GA
Checkmark IconExpungement
10-0029903/27/2012Claimant(s): National Planning Corporation
Claimant Lawyers(s): Scott A. Chernich
Respondent(s): Michael Spencer
Respondent Lawyers(s): Walter L. Baumgardner
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
04-0580907/18/2008Claimant(s): Town Plaza II Investments Ltd., Ely Tama and Andrea Tama
Claimant Lawyers(s): David M. Black
Respondent(s): Cantone Research Inc.
Respondent Lawyers(s): Walter L. Baumgardner
Arbitrator(s): William C. Kubicz, Harold Hood, Peter J. Henning
Hearing Site: Detroit, MI
Checkmark IconDuplicated Award
05-0369107/08/2008Claimant(s): N. Honer
Claimant Lawyers(s): Walter L. Baumgardner
Respondent(s): David Hester, Robert W. Baird & Co. Incorporated, Victor Whang
Respondent Lawyers(s): Gary M. Saretsky
Arbitrator(s): John R. Main, Timothy J. Currier, Lee Hornberger
Hearing Site: Detroit, MI
Checkmark IconStipulated Award and Expungement

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