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FINRA Awards for Guggenheim Funds Distributors

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0408909/15/2021Claimant(s): Michael Braun
Claimant Lawyers(s): Michael Braun
Respondent(s): Guggenheim Funds Distributors
Respondent Lawyers(s): Christopher Antonow
Arbitrator(s): Philip J. Glick, Gerald W. Hepp, David E. Bailey
Hearing Site: Indianapolis, IN
Checkmark IconDismissed by Rule 12504(a)(6)(A)

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