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FINRA Awards for Mark J. Appleton

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Case Number Award Date Case Summary Customer Case? Amount Granted
07-0316112/08/2009Claimant(s): Mark Bowman
Claimant Lawyers(s): Mark J. Appleton
Respondent(s): Wells Fargo Investments, U.S. Bancorp Investments.
Respondent Lawyers(s): John S. Lutz, Lee Merreot
Arbitrator(s): Steven Meyrich, Patti Fellows Peters, David L. Erickson
Hearing Site: Denver, CO
08-0011210/31/2008Claimant(s): Brandon Henry
Claimant Lawyers(s): Mark J. Appleton
Respondent(s): Cascade Financial Management.
Respondent Lawyers(s): Vance O. Knapp
Arbitrator(s): Judith Ferris Witthohn, Charles A. Newton, Samuel Clinton O'Daniel
Hearing Site: Denver, CO

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