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FINRA Awards for Diane Shafer Goldschmidt

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0244708/25/2023Claimant(s): Estate of Richard O. Bertschinger
Claimant Lawyers(s): Bryan J. Nowlin
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Karen Roberts Washington, Diane Shafer Goldschmidt, Brian James Tagtmeier
Hearing Site: Oklahoma City, OK
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20-0353901/23/2023Claimant(s): Alan Niemann
Claimant Lawyers(s): William D. Kellen
Respondent(s): Brian Heapps
Respondent Lawyers(s): Spencer Smith
Arbitrator(s): Dennis S. Boxeur, Mark C Watler, Diane Shafer Goldschmidt
Hearing Site: Oklahoma City, OK

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