Potomac Analytics' Logo

FINRA Awards for Waddell & Reed

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 10 out of 41 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0225706/06/2023Claimant(s): Gale Brodie
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Waddell & Reed, MSI Financial Services.
Respondent Lawyers(s): Ariel N. Brotman, Mike West
Arbitrator(s): Gary A. Hooker, Philip Aaron Tymon, Bruce J Highman
Hearing Site: San Francisco, CA
22-0029310/17/2022Claimant(s): Brian Kurland
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Stephany Adriene Watson
Hearing Site: Portland, OR
21-0278609/09/2022Claimant(s): Boris Desancic
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Charles Scott McClellan
Hearing Site: Seattle, WA
21-0106411/22/2021Claimant(s): Molly Rambo
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Robert E. Anderson
Hearing Site: Providence, RI
21-0045210/08/2021Claimant(s): Darren Port
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Eric D. Martin
Arbitrator(s): Robert J. Scafuri
Hearing Site: Milwaukee, WI
20-0133209/17/2021Claimant(s): Chun Zhu
Claimant Lawyers(s): Chun Mei (Ida) Zhu
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Jeffrey D. Hanslick
Arbitrator(s): Katherine Hendricks, William J. Bender, Craig Charles Beles
Hearing Site: Seattle, WA
20-0345807/23/2021Claimant(s): Sean Dobranich
Claimant Lawyers(s): James P. Galvin
Respondent(s): Wells Fargo Clearing Services, Waddell & Reed
Respondent Lawyers(s): Chad Weaver, Patricia Cowart
Arbitrator(s): Barry A. Mainardi, Robert E. Jenks, Ben Lehavi
Hearing Site: Las Vegas, NV
20-0269705/19/2021Claimant(s): Jason Freiwald
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Eric D. Martin
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
19-0203103/17/2020Claimant(s): Kurt Zipp
Claimant Lawyers(s): Kurt W. Zipp
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Lindsay E. Wuller
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Milwaukee, WI
19-0284012/30/2019Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay E. Wuller
Respondent(s): John Church
Respondent Lawyers(s): John Dewey Church
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN

41 Results

Display: