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FINRA Awards for Robert W. Dempsey

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0265705/27/2014Claimant(s): Bethene Kimbrough
Claimant Lawyers(s): Robert A. Frazier
Respondent(s): Jim Blount
Respondent Lawyers(s): Peter W. Howell
Arbitrator(s): Robert W. Dempsey
Hearing Site: Little Rock, AR
Checkmark IconExpungement
07-0292108/08/2008Claimant(s): Anthony Russo, Christopher Drake, David Luna, Stifel, Nicolaus & Co.., Donald Johns, Edward Gutierrez, Herbert Keyser, Jon Bostrom, Linda Swart-Scipione, Lisa Evans, Lisa McCrea, Manuel Lozano, Michael Nielsen, Raymond Reed
Claimant Lawyers(s): Joseph A. Dougherty, Kenneth C. Mennemeier
Respondent(s): Wachovia Securities, A.G. Edwards & Sons.
Respondent Lawyers(s): Jordan D. Becker
Arbitrator(s): Keith D. Patten, Robert W. Dempsey, Jeffrey N. Sullivan
Hearing Site: St. Louis, MO

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