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FINRA Awards for William Alfred Schwind

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0275002/15/2012Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Patricia Tsipras
Respondent(s): William Schwind
Respondent Lawyers(s): William Alfred Schwind
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
11-0164012/09/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C Fischer
Respondent(s): William Schwind
Respondent Lawyers(s): William Alfred Schwind
Arbitrator(s): William E. Hartsfield
Hearing Site: Dallas, TX

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