Potomac Analytics' Logo

FINRA Awards for Susan L. Walker

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

Filter by:

Sort by:

Displaying 10 out of 48 results
Case Number Award Date Case Summary Customer Case? Amount Granted
24-0126309/05/2024Claimant(s): Paulson Investment Company
Claimant Lawyers(s): Dexter B. Johnson
Respondent(s): Vincent Sharpe
Respondent Lawyers(s): Vincent Anthony Sharpe
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
23-0153008/23/2024Claimant(s): Christopher Hildreth
Claimant Lawyers(s): Daniel B. Grossman
Respondent(s): Truist Securities.
Respondent Lawyers(s): G. Wayne Hillis
Arbitrator(s): Susanne J. Hollander, Susan L. Walker, Jeffrey L. Durkes
Hearing Site: Chicago, IL
24-0067506/21/2024Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jason D. Evans
Respondent(s): Helen Grace Caldwell
Respondent Lawyers(s): Helen Grace Caldwell
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
23-0236606/18/2024Claimant(s): Jason Zoch
Claimant Lawyers(s): Angela A. Turiano
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Amanda Parisi
Arbitrator(s): Tracy L. Allen, Susan L. Walker, Kevin P. Feerick
Hearing Site: Indianapolis, IN
20-0247406/07/2024Claimant(s): James Rudwall
Claimant Lawyers(s): J. Samuel Tenenbaum
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael F. Braun
Arbitrator(s): Gregory G. Gocek, Susan L. Walker
Hearing Site: Chicago, IL
24-0025204/24/2024Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): James Czerniak
Respondent Lawyers(s): James Allen Czerniak
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
22-0153706/07/2023Claimant(s): David Pitlor
Claimant Lawyers(s): David Pitlor
Respondent(s): Garrett Wynne, Charles Schwab & Co.., TD Ameritrade., Stacy Fries
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Rochelle E. Dillard, Susan L. Walker, Matthew Rothchild
Hearing Site: Omaha, NE
Dismissed by Rule 12504
22-0226012/22/2022Claimant(s): William Shreve
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Susan L. Walker
Hearing Site: Omaha, NE
19-0311901/05/2022Claimant(s): Daniel Schreiner
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Ameriprise Financial Services, Stephen Ross
Respondent Lawyers(s): Jeffrey L. Rudd, Julie Fleming-Wolfe
Arbitrator(s): Michael S. Jordan, Susan L. Walker, William John Lillwitz
Hearing Site: Chicago, IL
20-0258805/07/2021Claimant(s): Michael Nolan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Allstate Financial Services
Respondent Lawyers(s): Jennifer Novoselsky
Arbitrator(s): Susan L. Walker
Hearing Site: St. Louis, MO

48 Results

Display: