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FINRA Awards for Stephens.

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0526210/08/2012Claimant(s): Diane Wendin
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Stephens.
Respondent Lawyers(s): Kim Keller Fowler
Arbitrator(s): Stan West, Barth Satuloff, John S. Leech
Hearing Site: Boca Raton, FL
Checkmark Icon$15,749
08-0333510/05/2010Claimant(s): Don Colcolough, Don Paul Colcolough and Anna Colcolough
Claimant Lawyers(s): Brian J. Neville
Respondent(s): John Colcolough, UBS Financial Services Inc., Stephens.
Respondent Lawyers(s): Kim Fowler, Patricia Christinasen
Arbitrator(s): Wendie L. Wachtel, Richard P. Regan, Jane C. Carney
Hearing Site: Washington, DC
Checkmark Icon$0

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