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FINRA Awards for Richard Baucom

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0375101/14/2022Claimant(s): Elizabeth Baucom, Richard Baucom, Richard Baucom IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Guillermo L. Bosch, Mary L. Sims, Louis P. Wagman
Hearing Site: Philadelphia, PA
Checkmark IconDismissed by Rule 12206

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