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FINRA Awards for Harold Engelman

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0323106/15/2010Claimant(s): Clayton Scholand, George Rankin, George Verdone, Samuel Rankin, William Wynn
Claimant Lawyers(s): Sara W Higgins
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Christopher M. Galusha
Arbitrator(s): Harold Engelman, James Edward Banks, Wendy J. Reyner
Hearing Site: Charlotte, NC
09-0496502/23/2010Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): William Ferguson
Respondent Lawyers(s): William Allen Ferguson
Arbitrator(s): Harold Engelman
Hearing Site: Raleigh, NC
08-0037602/13/2009Claimant(s): Wachovia Securities
Claimant Lawyers(s): Cliff G. Anderson
Respondent(s): Martin Hensley
Respondent Lawyers(s): Martin D. Hensley
Arbitrator(s): Jack C. Aycock, Harold Engelman, David P. McDuffee
Hearing Site: Raleigh, NC

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