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FINRA Awards for Geneva OSWX XII

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0275404/09/2012Claimant(s): Craig Larmon, Steven Badeau, Geneva BCCX XVIII, Geneva FTCX I, Geneva OSWX XII, Geneva OSWX XXII, Geneva OSWX XXXVI
Claimant Lawyers(s): Margaret A. Goetze
Respondent(s): Dan Werry, Daniel Wegmann, Eric Swenson, Frederick Fisher, Ameriprise Financial Services., Leslie Smith, Richard Murphy, Ronald Brendengen, Shelley Davenport, Thomas Berthel, 1031 & TIC Investments, Berthel, Fisher & Co. Financial Services, Omni Brokerage.
Respondent Lawyers(s): Britta Schnoor Loftus, Robert T. Matsuishi, Stephen J. Holtman
Arbitrator(s): Andrew R. Dick, Grant D. Sanders, Morton H. Greenberg
Hearing Site: Minneapolis, MN
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