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 31-40 out of 41 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0355211/05/2015Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H. Li
Respondent(s): Ralph Goodman
Respondent Lawyers(s): Ralph Ustin Goodman
Arbitrator(s): David R. Foley
Hearing Site: Syracuse, NY
14-0316510/23/2015Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H Li
Respondent(s): Karen Kane
Respondent Lawyers(s): Karen Suzanne Kane
Arbitrator(s): Randall S. Strause
Hearing Site: Indianapolis, IN
14-0317009/01/2015Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H. Li
Respondent(s): Elizabeth Smith
Respondent Lawyers(s): Elizabeth Smith
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
14-0211206/25/2015Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol Li
Respondent(s): David Pennington
Respondent Lawyers(s): David Steele Pennington
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Louisville, KY
14-0355306/02/2015Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H. Li
Respondent(s): Jeffrey Wesson
Respondent Lawyers(s): Jeffrey Leo Wesson
Arbitrator(s): Thomas C. Tretter
Hearing Site: Manchester, NH
14-0210502/23/2015Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol Li
Respondent(s): Rey Deborja
Respondent Lawyers(s): Rey Dante Deborja
Arbitrator(s): Thomas C. McNally
Hearing Site: San Francisco, CA
13-0324704/03/2014Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H. Li
Respondent(s): Robert Matarazzo
Respondent Lawyers(s): Robert John Matarazzo
Arbitrator(s): Frank Brenner
Hearing Site: Tampa, FL
10-0470907/25/2012Claimant(s): Victoria Tacher-Zavala
Claimant Lawyers(s): Charles E. Scarlett
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Carrie Bechtold
Arbitrator(s): William H. Steinbrenner, Robert J. Walter, James Howell Garrison
Hearing Site: Orlando, FL
Checkmark IconExpungement
07-0240407/16/2008Claimant(s): Waddell & Reed
Claimant Lawyers(s): Matthew R. Stammel
Respondent(s): A. Waddell
Respondent Lawyers(s): James A. Batson
Arbitrator(s): Bonnie K. Wachtel, Gerald Charnoff, Barbara B. Franklin
Hearing Site: Washington, DC
07-0292404/23/2008Claimant(s): Garland Adams
Claimant Lawyers(s): Milton H Fried
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Carrie J. Bechtold
Arbitrator(s): A. Keith Logue, Irving M. Shlesinger, Thomas Neal Tillery
Hearing Site: Atlanta, GA
Checkmark Icon$0

41 Results

Display: