FINRA Awards for Arthur L. Tepper

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Displaying 11-14 out of 14 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
10-03268	11/18/2011	Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Michael W. Starr Respondent(s): David Crook Respondent Lawyers(s): David Crook Arbitrator(s): Arthur L. Tepper Hearing Site: Atlanta, GA
09-02444	04/29/2010	Claimant(s): Jamie Hines Claimant Lawyers(s): Robert Persante Respondent(s): Ronald Giovino, GWN Securities Inc., Tax Shelter America. Respondent Lawyers(s): Bruce W. Barnes, Jonathan B. Butler Arbitrator(s): Richard J. Fuller, Arthur L. Tepper, William H. McCullough Hearing Site: Clearwater, FL
08-04360	02/10/2010	Claimant(s): Kenneith Rose Claimant Lawyers(s): Kenneith Vernon Rose Respondent(s): Neal Smalbach, GunnAllen Financial Respondent Lawyers(s): Neal S. Smalbach, William J. Schifino Arbitrator(s): Arthur L. Tepper, Duncan H. Cameron Hearing Site: Clearwater, FL		$0
08-03088	01/27/2010	Claimant(s): National Securities Corporation Claimant Lawyers(s): Joshua A. Katz Respondent(s): Richard Darquea Respondent Lawyers(s): Richard Darquea Arbitrator(s): Michael A. Levin, Robert A. Fabricant, Arthur L. Tepper Hearing Site: Boca Raton, FL