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FINRA Awards for Karen E. Sapp

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0209007/12/2012Claimant(s): John Simmons, Scott Carle
Claimant Lawyers(s): Brian G. Isaacson
Respondent(s): Wachovia Securities, Gail Brown, Morgan Keegan & Company., Randy Ross
Respondent Lawyers(s): David A. Picon, Matthew B. Baum, Wayne Hillis
Arbitrator(s): Brian Seth Orol, Leona Beane, Karen E. Sapp
Hearing Site: Raleigh, NC
Checkmark Icon$0
06-0411003/19/2008Claimant(s): Anna Anderson, Antonio McNeil, Carlton Phillips, George Boddie, Joe Ricks, Joyce Houston, Linda Eley, Ruth Beamon, Ruth Boone, Vertellar Clark, Wilbert Battle
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Northeast Securities.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): David P. McDuffee, Karen J. Montgomery, Karen E. Sapp
Hearing Site: Raleigh, NC
Checkmark Icon$329,242

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