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FINRA Awards for Diane Nelson

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0333108/18/2014Claimant(s): Alice Haverstock, Diane Nelson, Judd Broyer, Marian Broyer, Broson Investment
Claimant Lawyers(s): Daniel B. Lipson
Respondent(s): Peter Voldness, Emergent Financial Group.
Respondent Lawyers(s): Randy J. Sparling
Arbitrator(s): Lawrence R. Commers, Emily B. Boote, John B. Orenstein
Hearing Site: Minneapolis, MN
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