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FINRA Awards for John C. Steele

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0066408/04/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John C. Steele
Respondent(s): Piper Jaffray & Co., Mark Riley
Respondent Lawyers(s): John C. Steele, Marie C. Mirch
Arbitrator(s): Nancy J. Spieczny, Edward H. Davis, Arnold Packer
Hearing Site: San Diego, CA
09-0525903/23/2011Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John C. Steele
Respondent(s): Mark Gardner
Respondent Lawyers(s): Mark Steven Gardner
Arbitrator(s): Bill H. Brister, G. Maynard Green, Larry N. Quinn
Hearing Site: Dallas, TX

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