Awards / Judgments

Kirlin-Securities-Award.pdf [248 KB]
Kirlin Securities, Inc. v. Edward Deicke, et al. v. David O. Lindner, et al.
FINRA Dispute Resolution, Case No. 05-03716

Cain-v.-Wachovia-AGE-Award.pdf [330 KB]
Michael Sean Cain v. Wachovia Securities, LLC as Surviving Entity by Merger with A.G. Edwards & Sons, Inc.
FINRA, Case No. 06-05187

Cain-Final-Order.pdf [292 KB]
Carol Cohen v. A.G. Edwards & Sons, Inc. and Michael Sean Cain
Superior Court of Fulton County, State of Georgia, Civil Action File No. 2005-CV-100-613

Cain-Award.pdf [286 KB]
Carol Cohen v. A.G. Edwards & Sons, Inc. and Michael Sean Cain
NASD Dispute Resolution, Case No. 03-03797

Nash-Award.pdf [307 KB]
Linda K. Nash v. Salomon Smith Barney, Inc. and Mark C. Callaway
NASD Dispute Resolution, Case No. 02-01314