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FINRA Awards for Joseph J. Woodford

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0213912/18/2017Claimant(s): David Hughes
Claimant Lawyers(s): Jonah A. Toleno
Respondent(s): Kestra Investment Services.
Respondent Lawyers(s): Kelsey L. Hotchkiss
Arbitrator(s): Joseph J. Woodford, Brian William Heublein, Thomas L. Marshall
Hearing Site: San Diego, CA
11-0258905/06/2013Claimant(s): Peter Chiang
Claimant Lawyers(s): Peter G. Chiang
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Patrick J. Folan
Arbitrator(s): Robert A. Yates, Lester G. Stiel, Joseph J. Woodford
Hearing Site: San Diego, CA
06-0529508/29/2008Claimant(s): Curt Reed
Claimant Lawyers(s): Lawrence J. Fossi
Respondent(s): Lincoln Financial Advisors Corporation, The Lincoln National Life Insurance Co
Respondent Lawyers(s): David J. Novotny
Arbitrator(s): Dennis Michael Kelleher, Joseph J. Woodford, Michael D. Briggs
Hearing Site: San Diego, CA

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