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FINRA Awards for Baker Tilly Capital

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0114112/11/2020Claimant(s): Steven Hooyman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Baker Tilly Capital
Respondent Lawyers(s): Matthew C. Boba
Arbitrator(s): Leon Fox
Hearing Site: Milwaukee, WI
09-0547703/28/2011Claimant(s): Roy Cook, Oak Brook Strategic Investment Advisors
Claimant Lawyers(s): Ruth I. Major
Respondent(s): Baker Tilly Capital, Baker Tilly Investment Advisors, Baker Tilly Virchow Krause, LLP
Respondent Lawyers(s): Kevin D. McHugh
Arbitrator(s): Alan E. Case, Theodore W. Wrobleski, Joseph D. Savino
Hearing Site: Chicago, IL

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