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FINRA Awards for Christopher R. Richie

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0664911/12/2010Claimant(s): First Southwest Company
Claimant Lawyers(s): Christopher R. Richie
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Peter J. Conlon, Linda B. Kelly, Robert E. Treadaway
Hearing Site: Dallas, TX
07-0126101/13/2009Claimant(s): Roger Lawler
Claimant Lawyers(s): Joel Held
Respondent(s): Jeffrey Wheeler, M & W Financial.
Respondent Lawyers(s): Christopher R. Richie, Steven J. Pawlowski
Arbitrator(s): Bill H. Brister, Richard A Miller, Leighton Aiken
Hearing Site: Dallas, TX
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