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FINRA Awards for Jeffrey L. Gaffney

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0057903/04/2014Claimant(s): Doreen Blank, Edward Blank, Estate of Della A.B. Baker
Claimant Lawyers(s): Lance C. McCardle
Respondent(s): James Glover, Signator Investors.
Respondent Lawyers(s): James Robert Glover, Paul F. Enzinna
Arbitrator(s): Jeffrey L. Gaffney, Randy R. Maher, Daniel R. Saling
Hearing Site: San Diego, CA
Checkmark Icon$1,589,150
13-0029008/21/2013Claimant(s): Celine Derunes, Franck Derunes
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward Walton
Arbitrator(s): Jeffrey L. Gaffney
Hearing Site: San Diego, CA
Checkmark Icon$18,488
09-0339405/26/2010Claimant(s): Thomas Logan
Claimant Lawyers(s): Kevin J Mirch
Respondent(s): Peter Sims, Toni Moninger, Lincoln Financial Distributors.
Respondent Lawyers(s): Grant P. Alexander
Arbitrator(s): Jeffrey L. Gaffney, James B. Guillou, Robert Alan Merring
Hearing Site: San Diego, CA

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