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FINRA Awards for John Alan Hawke

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0247508/06/2024Claimant(s): Jeffrey McDonald
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Thomas J. Patka, Marilyn K. Dirks, John Alan Hawke
Hearing Site: Tampa, FL
17-0220002/07/2019Claimant(s): Joel Christie, Kusum Christie
Claimant Lawyers(s): John R. Kiefner
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Gerry Giurato
Arbitrator(s): Gary E. Marcus, John Alan Hawke, David Schwartzberg
Hearing Site: Tampa, FL
Checkmark IconExpungement
16-0007706/23/2017Claimant(s): John Wheeler
Claimant Lawyers(s): John R. "Jack" Kiefner
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): John P. Cullem, Richard Kennard Hurley, John Alan Hawke
Hearing Site: Tampa, FL

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