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FINRA Awards for Mark K. Davis

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0180211/12/2021Claimant(s): Jennifer Lona, Philip Lane
Claimant Lawyers(s): Mark K. Davis
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Katherine Hendricks
Hearing Site: Seattle, WA
Checkmark Icon$34,875
10-0037708/04/2011Claimant(s): Anne Erickson, Robert Erickson
Claimant Lawyers(s): Mark K. Davis
Respondent(s): Craig Johnsen, TD Ameritrade., Norman Price, Ronald Robertson, RP Capital LLC, Strategic Capital Group LLC
Respondent Lawyers(s): James J. Vihstadt, William E. Fitzharris
Arbitrator(s): John A. Bender, Thomas D. Cochran, Richard L. Warner
Hearing Site: Seattle, WA
Checkmark Icon$65,013
10-0038309/27/2010Claimant(s): Alan Thietje and Michelle Thietje
Claimant Lawyers(s): Mark K. Davis
Respondent(s): Angelo Cortes, Morgan Stanley
Respondent Lawyers(s): Lawrence G. Barbot
Arbitrator(s): Roy J. Moceri
Hearing Site: Seattle, WA
Checkmark Icon$25,425

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