FINRA Awards for USCA RIA LLC

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Displaying 3 out of 3 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
21-01598	04/14/2022	Claimant(s): Christian Bauman, Patrick Mendenhall Claimant Lawyers(s): Dochtor Kennedy Respondent(s): USCA RIA LLC, USCA Securities LLC Respondent Lawyers(s): Therese L. Suprenant Arbitrator(s): Brian James Tagtmeier Hearing Site: Houston, TX
20-03151	09/14/2021	Claimant(s): Matthew West Claimant Lawyers(s): Dochtor Kennedy Respondent(s): USCA RIA LLC, USCA Securities LLC Respondent Lawyers(s): Therese L. Surprenant Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX
13-02229	11/18/2014	Claimant(s): Ed Herringshaw, Mark Rowe, Mary Rowe, Oscar Jones, Roger Matz, Warren Cherry, Estate of Allen Bakker, John Wakefield, Lee Levine, Mark Bentley, Mary Kochenderfer, Melissa Overbay, Paul Wright, Pete Altimore, Robert Evans, Roger Michael, Ron Appelt, W. Bruce Overbay, Wayne Kochenderfer Claimant Lawyers(s): Wesley Lotz Respondent(s): U.S. Capital Advisors LLC, USCA RIA LLC, USCA Securities LLC Respondent Lawyers(s): Suzanne Hickey, CCO Arbitrator(s): Charles E. Munson, William A. Allen, David C. Redford Hearing Site: Houston, TX		Settlement