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FINRA Awards for David Baugh

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0134111/13/2018Claimant(s): Robert J Narveson IRA, Robert J Narveson & Stephanie T Narveson
Claimant Lawyers(s): Michael MacDonald
Respondent(s): Jay Brown
Respondent Lawyers(s): David Baugh
Arbitrator(s): Jack D. Elmquist
Hearing Site: Minneapolis, MN
Checkmark IconExpungement
15-0028307/17/2017Claimant(s): Mark Farwell
Claimant Lawyers(s): Martin H. Kaplan
Respondent(s): LPL Financial LLC, Robert Kennedy, Spencer Lewis, Summer Pretzer, Thomas Estridge
Respondent Lawyers(s): David Baugh
Arbitrator(s): Rody P. Biggert, Laura M. Nelson, Michael Cotter Greenfield
Hearing Site: Chicago, IL

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