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FINRA Awards for Richard Spencer

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0427303/10/2014Claimant(s): Karen Cartwright
Claimant Lawyers(s): Shelly J. Todd
Respondent(s): Anthony Rocco, Richard Barron, Richard Spencer, Wesbanco Securities., Westbanco.
Respondent Lawyers(s): Douglas G. Smith
Arbitrator(s): Frank C. Fogl, Gregory P. Szuter, Paul E. von Geis
Hearing Site: Pittsburgh, PA

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