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FINRA Awards for Jason W. Gaarder

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0306812/04/2014Claimant(s): Kevin Rodriguez
Claimant Lawyers(s): Jason W. Gaarder
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Steven M. Phillps
Arbitrator(s): Shahla Butler, Vicky L. Orem, Thomas James Hirsch
Hearing Site: Baltimore, MD
Checkmark Icon$0
11-0160102/20/2013Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): David W. Erb
Respondent(s): Michael Duprey, Bluemont Capital Advisors
Respondent Lawyers(s): Hannah Berkowitz, Jason W. Gaarder
Arbitrator(s): William H. Malloy, Stephany Adriene Watson, Randy Cepuch
Hearing Site: Washington, DC
09-0406703/02/2010Claimant(s): Cleveland Foret, Joan Foret
Claimant Lawyers(s): James F. Willeford
Respondent(s): Legg Mason Wood Walker, Sterne, Agee & Leach.
Respondent Lawyers(s): Jason W. Gaarder, Meredith Jowers Lees
Arbitrator(s): Robert H. Putnam, Michael T. Nobile, William Gilbert Faulk
Hearing Site: New Orleans, LA
Checkmark IconDismissed by Rule 12206
06-0281809/15/2008Claimant(s): Donald Dailey
Claimant Lawyers(s): Arnold Y. Steinberg
Respondent(s): Legg Mason Wood Walker, John Russell
Respondent Lawyers(s): Jason W. Gaarder
Arbitrator(s): Jay H. Feldstein, N. John Marinack, Ronald J. Ricci
Hearing Site: Pittsburgh, PA
Checkmark Icon$0

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