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FINRA Awards for Carol Akers Klug

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0078403/04/2015Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Connie Mack, Mark Blom, Richard Rosso
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): R. Lee Britton Jr., Carol Akers Klug, Steven Dale Smit
Hearing Site: Houston, TX
11-0079011/20/2013Claimant(s): John Ginsburg
Claimant Lawyers(s): Daniel J. Goldberg
Respondent(s): Christa Burgett, Morgan Stanley, Lisa Creegan, Manny Canales, Mary Mullis
Respondent Lawyers(s): Nancy L. Patterson
Arbitrator(s): W. Merrill Glasgow, Jerry C. Prestridge, Carol Akers Klug
Hearing Site: Houston, TX

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