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FINRA Awards for Lisa S. Fildes

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0151607/19/2011Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Ronald Blevins
Respondent Lawyers(s): Ronald Todd Blevins
Arbitrator(s): Robert E. Thompson, Mark R. Topper, James Conrad Riewerts
Hearing Site: San Francisco, CA
09-0189410/15/2009Claimant(s): Jeffrey B Yeager and Grazyna Yeager
Claimant Lawyers(s): Jeffrey B Yeager
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Lisa S. Fildes
Arbitrator(s): John P. Gouttiere
Hearing Site: Detroit, MI
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