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FINRA Awards for Ralph Carlson

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Case Number Award Date Case Summary Customer Case? Amount Granted
05-0252110/18/2007Claimant(s): Brenda Caswell, Gail Carlson, George Finkbiner, Herbert Hansen, Jane Hoffman, Jane Kercheval, Joyce Alo, Kendall Kelly, Kenneth Caswell, Margaret Huyler, Marguerite Edwards, Ralph Carlson, Rosemary O'Donnell, Earl Kercheval, Elizabeth Hansen, Estate of Eileen McCardle, Antonio and Bernardina Augusto, Frederick and Diane Burmeister, Harold and Janet Bennett, Davison Rugs Profit Sharing Trust
Claimant Lawyers(s): Brian A. Carlis, Richard D. DeVita
Respondent(s): Royal Alliance Associates., Comprehensive Asset Mgmt and Servicing
Respondent Lawyers(s): Brian A. Carlis, Erika L. Altman
Arbitrator(s): Ronnie Edward Nichols, Robert T. Kelly, Suzanne Levin Wolfson
Hearing Site: Philadelphia, PA
Checkmark Icon$125,423

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