FINRA Awards for Joseph J. Dougherty

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 11-20 out of 23 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
20-00791	10/05/2020	Claimant(s): Steven Jablonski Claimant Lawyers(s): Brian Luther Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Joseph J. Dougherty Hearing Site: Philadelphia, PA
18-00845	01/11/2019	Claimant(s): Heather Evans Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Joseph J. Dougherty Hearing Site: Richmond, VA
17-01209	12/05/2018	Claimant(s): Waylon Jackson Claimant Lawyers(s): Andrew G. Mauck Respondent(s): Louis Frates Respondent Lawyers(s): J. Bryan Plumlee Arbitrator(s): Michael J. Henke, Joseph J. Dougherty, Tony J Lawrence Hearing Site: Richmond, VA
18-01854	11/14/2018	Claimant(s): Richard Wesselt Claimant Lawyers(s): Dochtor Kennedy Respondent(s): The O.N. Equity Sales Company Respondent Lawyers(s): Mark E. Elsener Arbitrator(s): Joseph J. Dougherty Hearing Site: Philadelphia, PA
17-01493	05/31/2018	Claimant(s): Stephen Owen Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Deirdre C. Wolff Arbitrator(s): Joseph J. Dougherty Hearing Site: Baltimore, MD
17-00936	11/30/2017	Claimant(s): John Tompkins Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Morgan Stanley Respondent Lawyers(s): Joseph A. Sack Arbitrator(s): Joseph J. Dougherty Hearing Site: Baltimore, MD
17-01260	10/31/2017	Claimant(s): Charles Fuller Claimant Lawyers(s): Charles Daniel Fuller Respondent(s): T. Rowe Price Investment Services. Respondent Lawyers(s): Daniel J. Donovan Arbitrator(s): Joseph J. Dougherty Hearing Site: Baltimore, MD
15-02955	06/06/2016	Claimant(s): Thomas Helm Claimant Lawyers(s): Megan Christensen Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): J. Burke McCormick Arbitrator(s): Joseph J. Dougherty, Timothy Towles Stevens, John Joseph D'Alessandro Hearing Site: Philadelphia, PA
15-00894	02/18/2016	Claimant(s): Neil Boyle Claimant Lawyers(s): Neil David Boyle Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Carlos Pastrana Arbitrator(s): Joseph J. Dougherty Hearing Site: Philadelphia, PA
14-00882	11/06/2014	Claimant(s): Robert Friedman Claimant Lawyers(s): Thomas B. Lewis Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): J. Burke McCormick Arbitrator(s): Joseph J. Dougherty Hearing Site: Philadelphia, PA