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FINRA Awards for Richelle M. Caswell

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0266312/10/2013Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Jeffrey Thomas Kern
Respondent(s): Richelle Caswell
Respondent Lawyers(s): Richelle M. Caswell
Arbitrator(s): Lonnie L. Cunningham, John J. Miller, Ronald G. Bruch
Hearing Site: Kansas City, MO

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