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FINRA Awards for Charles E. Riggs

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Displaying 4 out of 4 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0116105/31/2024Claimant(s): Travis Hughes
Claimant Lawyers(s): Michael Bessette
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Renata Ortiz Bloom
Arbitrator(s): Charles Earle Riggs
Hearing Site: Albuquerque, NM
14-0141712/24/2014Claimant(s): Donald E. Hoke and Jean N. Hoke Family T
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): R. E. Thompson
Arbitrator(s): Donald W. Diones, James D. Knotter, Charles E. Riggs
Hearing Site: Albuquerque, NM
Checkmark IconDismissed by Rule 12206
13-0219311/12/2014Claimant(s): Randy Greene, Tanya Greene
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Charles E. Riggs, Richard D. Fincher, Bruce J. Pederson
Hearing Site: Albuquerque, NM
Checkmark IconExpungement
11-0172301/17/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Charles Goodman
Respondent Lawyers(s): Mark L. Ish
Arbitrator(s): Jonathan H. Larson, Charles E. Riggs, J. Robert Brown
Hearing Site: Albuquerque, NM

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