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FINRA Awards for Waddell & Reed

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Displaying 11-20 out of 41 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0031908/26/2019Claimant(s): Kevin Engbers
Claimant Lawyers(s): Matthew E. Wolper
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Jason A. Kempf
Arbitrator(s): Susan L. Walker
Hearing Site: Omaha, NE
18-0426607/03/2019Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay Wuller
Respondent(s): Brian Williams
Respondent Lawyers(s): Brian David Williams
Arbitrator(s): John R. Loss
Hearing Site: Kansas City, MO
17-0143406/05/2019Claimant(s): 0
Claimant Lawyers(s): 0
Respondent(s): Gregory Bauer, Waddell & Reed
Respondent Lawyers(s): Gregory R. Bauer, Richard H. Kuhlman
Arbitrator(s): Richard W. Dissen
Hearing Site: Pittsburgh, PA
Checkmark Icon$420,824
18-0377504/16/2019Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay E. Wuller
Respondent(s): Duncan Sandlin
Respondent Lawyers(s): Duncan Tyrel Sandlin
Arbitrator(s): John J. Fitzpatrick
Hearing Site: Portland, OR
18-0300404/08/2019Claimant(s): Waddell & Reed
Claimant Lawyers(s): Shannon M. Wheaton
Respondent(s): Adam Govani
Respondent Lawyers(s): Adam Bashir Govani
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
18-0312303/20/2019Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay Wuller
Respondent(s): Keir Harner
Respondent Lawyers(s): Keir Dane Harner
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Omaha, NE
18-0055801/18/2019Claimant(s): Beth Hearn
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Carolyn Browne
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
18-0111810/16/2018Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay Wuller
Respondent(s): Keith Blanchard
Respondent Lawyers(s): Keith Everette Blanchard
Arbitrator(s): David Paul Clark
Hearing Site: Charlotte, NC
18-0137710/10/2018Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay Wuller
Respondent(s): Ruben Rodriguez
Respondent Lawyers(s): Ruben Rodriguez
Arbitrator(s): Edith N. Dinneen
Hearing Site: Jacksonville, FL
18-0109308/17/2018Claimant(s): Waddell & Reed
Claimant Lawyers(s): Shannon M. Wheaton
Respondent(s): James Groh
Respondent Lawyers(s): James Colin Groh
Arbitrator(s): Bertrand C. Moser
Hearing Site: Houston, TX

41 Results

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