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FINRA Awards for Kathy M. Klock

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Displaying 31-40 out of 42 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0326408/06/2013Claimant(s): Evangelos Dimopoulos
Claimant Lawyers(s): Evangelos Dimopoulos
Respondent(s): Christopher Fontana, Wells Fargo Advisors
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Daniel P. Lund
Hearing Site: Miami, FL
Checkmark IconExpungement
12-0014107/25/2013Claimant(s): Michel Rosen, Naomi Rosen
Claimant Lawyers(s): Susan R. Healy
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Langfred W. White, Robert S. Anderson, Keith M. Crouse
Hearing Site: Tampa, FL
Checkmark IconExpungement
12-0204105/24/2013Claimant(s): Judith Gardiner, Judith Gardiner Revocable Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Linda M. Granata, Herbert Branitsky, Harris Gally
Hearing Site: Ft. Lauderdale, FL
Checkmark IconExpungement
11-0421312/10/2012Claimant(s): Natalie Faith
Claimant Lawyers(s): William J. Gladden
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Edward R. Niederriter, Robert G. Geeseman, Scott Manker
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
11-0299212/06/2012Claimant(s): Gary Glatz on behalf of his IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Jonathan Butenuth, Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Theodore W. Wrobleski, Stephen C. Esposito, Irving A. Chesler
Hearing Site: Chicago, IL
Checkmark IconExpungement
10-0332212/05/2012Claimant(s): Leonard Zisman, Susan Eichler, Estate of Sylvia Zisman, Sylvia Zisman Revocable Liv Trust No. 2, Sylvia Zisman Revocable Living Trust
Claimant Lawyers(s): Robert H. Rex
Respondent(s): LPL Financial LLC, Kathy Busch, Global Planning.
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Robert H. Nelson, Gayle B. Carlson, Joseph John Mantione
Hearing Site: Orlando, FL
Checkmark IconExpungement
10-0093409/24/2012Claimant(s): Letzgo Co.
Claimant Lawyers(s): Scott Hirsch
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Gary M. Landau, John E. Sutton, Suzanne E. Mowry
Hearing Site: Boca Raton, FL
Checkmark IconStipulated Award and Expungement
11-0078209/19/2012Claimant(s): Richard Winslow
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Lawrence S. Silver, Herbert Branitsky, Andrew Jay Kohan
Hearing Site: Ft. Lauderdale, FL
Checkmark IconStipulated Award and Expungement
10-0310301/25/2012Claimant(s): Blanche Gloetzner
Claimant Lawyers(s): Tiffany J. Brown
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Frances D. Sheehy, Harriet A. Kottick, Bonnie A. Pearce
Hearing Site: Boca Raton, FL
Checkmark IconStipulated Award and Expungement
10-0467506/13/2011Claimant(s): Larry Addams
Claimant Lawyers(s): Larry Wayne Addams
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Robert G. Scott
Hearing Site: Kansas City, MO

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