Potomac Analytics' Logo

FINRA Awards for Daniel Carlson

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 2 out of 2 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0420107/29/2015Claimant(s): Doris Rose, Code 3 Industries., Historical Properties., Kay Administration Service., The Rose Family Trust, The Rose Family Trust # 3, The Rose Family Trust #2
Claimant Lawyers(s): Daniel Carlson, G. Mark Brewer
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Helen W. Kinnaird, Evan A. Gould, John Scott Carter
Hearing Site: San Diego, CA
Checkmark IconExpungement
11-0474711/08/2012Claimant(s): John Stern, Karen Stern, The Stern Family Trust dtd 11/5/00
Claimant Lawyers(s): Daniel Carlson
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Shea O'Brien Hicks
Arbitrator(s): Jeffrey L. Malek
Hearing Site: Los Angeles, CA
Checkmark Icon$213

2 Results

Display: