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FINRA Awards for Wall Street Access Corporation

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Case Number Award Date Case Summary Customer Case? Amount Granted
07-0153504/29/2009Claimant(s): Wall Street Access Corporation
Claimant Lawyers(s): Brian J. Neville
Respondent(s): Scott Wertheim, CapTrust Financial Advisors
Respondent Lawyers(s): Amie Flower Carmack
Arbitrator(s): Paul C. Kurland, Edward Baer, Denzil J. Klippel
Hearing Site: New York, NY

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