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FINRA Awards for Cory L. Braddock

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Case Number Award Date Case Summary Customer Case? Amount Granted
22-0028910/04/2022Claimant(s): Juan Ley
Claimant Lawyers(s): Cory L. Braddock
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Louis M. Parker, Adam Dylan Wick, Carrie Lynette Thompson Jones
Hearing Site: Phoenix, AZ
16-0169107/19/2018Claimant(s): Michael Friar, Ascend Strategic Partners
Claimant Lawyers(s): Robin M. Pearson
Respondent(s): Heiner Meldner, Cubic Tech Corporation
Respondent Lawyers(s): Cory L. Braddock
Arbitrator(s): Jay Lawrence Witkin, Sheila Grinell, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
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12-0038508/21/2013Claimant(s): Richard Groff, Wealth Management International, Ltd.
Claimant Lawyers(s): Edwin A. Barkel
Respondent(s): Adam Carlini, Jackie Groff, Jennifer Carlini, Dynamic Wealth Management LLC
Respondent Lawyers(s): Cory L. Braddock, Edwin A. Barkel
Arbitrator(s): Charles W. Herf, Eugene R. Nielson, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ

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