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FINRA Awards for Chad Henry

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0443408/16/2019Claimant(s): Chad Henry
Claimant Lawyers(s): Bryan M. Ward
Respondent(s): Robert W. Baird & Co. Incorporated, Ameriprise Financial Services., Sigma Financial Corporation
Respondent Lawyers(s): Howard M. Klausmeier, Paul Schultz, Randolph F. Pistor
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
09-0381207/06/2010Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Chad Henry, David Koch
Respondent Lawyers(s): Nancy L. Hendrickson
Arbitrator(s): Michael L. Weissman, Jeffrey S. Fannon, Samuel Olutola Akeju
Hearing Site: Chicago, IL

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