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FINRA Awards for Charles Faig

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Case Number Award Date Case Summary Customer Case? Amount Granted
07-0095707/15/2008Claimant(s): Robert Harth, Trustee for Elizabeth Ha
Claimant Lawyers(s): Edward J. Dimon
Respondent(s): Charles Faig, Wachovia Securities, Herbert Roemmele, Trina Mitsch
Respondent Lawyers(s): Ryan P. Smith
Arbitrator(s): Vernon C. Walker, Dennis C. Meyerson, E. William Pastor
Hearing Site: Philadelphia, PA
Checkmark IconStipulated Award and Expungement

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