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FINRA Awards for Dake Investments

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0104506/19/2013Claimant(s): Dake Investments
Claimant Lawyers(s): Joe Wojciechowski
Respondent(s): Charles Funke, Gregory Sernett, James Mason, Mark Sorensen, Michael Maughan, Sharon Weinle, Insphere Securities.
Respondent Lawyers(s): Daniel A. Hetzel
Arbitrator(s): Robert S. McConnell, Bruce R. Heurlin, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
Checkmark IconExpungement

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