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FINRA Awards for Douglas P. Whipple

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0165310/17/2012Claimant(s): Mary R. Brumfield Living Trust, Steven F. Brumfield Living Trust, Steven M. Brumfield Living Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Roger Ruth, MWA Financial Services Inc.
Respondent Lawyers(s): Carlos E. Mustelier, Douglas P. Whipple
Arbitrator(s): Emily J. Lewis, Alex H. Keller, Mary D. Stevenson
Hearing Site: Columbus, OH
Checkmark Icon$600
07-0122808/14/2008Claimant(s): Puccinelli PRFT Shr TT 2-1-84, Puccinelli Retire Tst 6-26-00, Puccinelli Trust 10-1-1998
Claimant Lawyers(s): Douglas P. Whipple
Respondent(s): Brian Bruscino, NatCity Investments., National City Insurance Group.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): James A. Laurenson, James Dale Ellis, Scott C. Matasar
Hearing Site: Cleveland, OH
Checkmark Icon$0
06-0516001/16/2008Claimant(s): Robert Milano, Robert Milano Irrevocable Life Ins. trst
Claimant Lawyers(s): Douglas P. Whipple
Respondent(s): Gregory Kopan, Butler Capital Advisors., Multi-Financial Securities Corporation, Pacific Life Insurance Company
Respondent Lawyers(s): Eric J. Weiss, Melvin G. Moseley
Arbitrator(s): Verne C. Hampton, John P. Gouttiere, Eugene Kenneth Laporte
Hearing Site: Detroit, MI
Checkmark Icon$0

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