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FINRA Awards for Robert Brooks

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0095301/26/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Robert Brooks
Respondent Lawyers(s): Robert Jay Brooks
Arbitrator(s): Lawrence R. Commers, Julie A. Hennen, Frederick Ramos
Hearing Site: Minneapolis, MN
12-0123401/15/2014Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Robert Brooks
Respondent Lawyers(s): Gilbert J. Andia
Arbitrator(s): John Russell Barlow
Hearing Site: Raleigh, NC
11-0087408/16/2011Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana Sur
Respondent(s): Robert Brooks
Respondent Lawyers(s): Robert Jay Brooks
Arbitrator(s): Kathy A. Tatone
Hearing Site: Minneapolis, MN

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