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FINRA Awards for John Ward

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0267910/20/2015Claimant(s): Michael C. Shean, IRA, Suzanne T. Shean, Marcus Wallace or Melinda Wallace
Claimant Lawyers(s): Michael J. Stanley
Respondent(s): Christopher Fulco, Edward Zelezen, Pershing LLC, John Ward, Ronald Artzi
Respondent Lawyers(s): Elizabeth F. Edwards
Arbitrator(s): Ron C. Christner, Robert E. Graves, Brian P. Jakes
Hearing Site: Jackson, MS
Checkmark IconExpungement
13-0099211/21/2013Claimant(s): Charles Ward
Claimant Lawyers(s): Rebecca E. Swenson
Respondent(s): Helen Ward, John Ward, UBS Financial Services Inc., Lea Ward
Respondent Lawyers(s): Helen Ward, John P. Ward, Lea C. Ward, Rebecca E. Swenson
Arbitrator(s): Richard E. Lauziere, Brenda J. Stovall, Jason William Gaarder
Hearing Site: Baltimore, MD
Expungement

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