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FINRA Awards for John Phillips

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0405507/07/2023Claimant(s): Grant Montgomery
Claimant Lawyers(s): John Phillips
Respondent(s): Carter, Terry & Company.
Respondent Lawyers(s): Scott Holcomb Esq.
Arbitrator(s): Barry Goldman, Lynn Hirschfeld Brahin, Brenda Adams
Hearing Site: St. Louis, MO
Checkmark Icon$100,000
10-0017809/23/2011Claimant(s): John Phillips
Claimant Lawyers(s): Daniel Woska
Respondent(s): Daniel Witham, Uvest Financial Services Group.
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Carroll O. Johnson, Bill H. Brister, John Burke Garrett
Hearing Site: Oklahoma City, OK
07-0295704/14/2008Claimant(s): John Phillips
Claimant Lawyers(s): John S. Lutz
Respondent(s): Lincoln Financial Distributors.
Respondent Lawyers(s): Jennifer L. Petruccelli
Arbitrator(s): Richard M. Reider, Stephen Kirk Ingebretsen, David L. Erickson
Hearing Site: Denver, CO

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