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FINRA Awards for L

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0004809/16/2019Claimant(s): Thomas Davis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): American Independent Securities Group, L
Respondent Lawyers(s): W. Gregory Lockwood
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Portland, OR
12-0076510/15/2014Claimant(s): Sherry Katz-Hedrington, Security Financial Management Compnay, L
Claimant Lawyers(s): Derek S Wilczynski
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kyle D. Rettberg
Arbitrator(s): Tracy L. Allen, Matthew W. Schlegel, Gerald W. Hepp
Hearing Site: Detroit, MI
Checkmark Icon$600

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