FINRA Awards for Richard Charles Hotvedt

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 7 out of 7 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
12-01358	10/15/2012	Claimant(s): Edward Brownstein Claimant Lawyers(s): Dana S. Gloor Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Richard Charles Hotvedt Hearing Site: Baltimore, MD
12-00529	08/08/2012	Claimant(s): Joseph Massaro Claimant Lawyers(s): Joseph Vincent Massaro Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Patrick J. Howley Arbitrator(s): Richard Charles Hotvedt Hearing Site: Baltimore, MD
10-05607	11/07/2011	Claimant(s): Raymond, James & Associates. Claimant Lawyers(s): Kelli Bullington Respondent(s): Matthew McGrath Respondent Lawyers(s): Seth Huberman Arbitrator(s): Richard Charles Hotvedt Hearing Site: Boca Raton, FL
10-04312	05/02/2011	Claimant(s): Sagepoint Financial. Claimant Lawyers(s): Louis D. Tambaro Respondent(s): Keith Golden Respondent Lawyers(s): Keith Alan Golden Arbitrator(s): Richard Charles Hotvedt Hearing Site: Boca Raton, FL
09-06430	04/15/2011	Claimant(s): Ameriprise Advisor Services. Claimant Lawyers(s): Larry J. Lipka Respondent(s): Joseph Jackson Respondent Lawyers(s): Joseph A. Jackson Arbitrator(s): Richard Charles Hotvedt Hearing Site: Tampa, FL
09-00584	10/14/2010	Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Cory S. Zadanosky Respondent(s): Andrew Aragona Respondent Lawyers(s): Wayne Hartke Arbitrator(s): Harold S. Stern, Richard Charles Hotvedt Hearing Site: Boca Raton, FL
07-01355	04/29/2008	Claimant(s): Adele Nathanson, J&A Nathanson Family Trust Claimant Lawyers(s): Alex M. Allman Respondent(s): Chris Haera, Wachovia Securities, Dan Klein Respondent Lawyers(s): Demian J. Betz Arbitrator(s): James M. Johnstone, Richard Charles Hotvedt, Charles C. Fox Hearing Site: Baltimore, MD		$0