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FINRA Awards for Debora A. Caley

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0149109/14/2012Claimant(s): Mark Dickman
Claimant Lawyers(s): Cindy Peters
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Russell S. Sayre
Arbitrator(s): Lisa Shusterman, Debora A. Caley, Jeff VanWay
Hearing Site: Cincinnati, OH
07-0228009/10/2008Claimant(s): Charles Kromer
Claimant Lawyers(s): Megan Clark
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): David K. Montgomery
Arbitrator(s): Charles D. Underwood, Debora A. Caley, Christy K. Radigan
Hearing Site: Cincinnati, OH
07-0182104/16/2008Claimant(s): Dawne Ferland
Claimant Lawyers(s): Theresa M. Mohan
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Nancy Anderson Tayborn
Arbitrator(s): Bill Swinford, Christy C. Walker, Debora A. Caley
Hearing Site: Cincinnati, OH

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