FINRA Awards for Steven M. Phillips

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Displaying 5 out of 5 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
20-02507	10/30/2024	Claimant(s): Cinda Collins Claimant Lawyers(s): Vincent D. Louwagie Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Steven M. Phillips Arbitrator(s): Kevin D. Hofman, Jo Anne F. Lewellen, Nathaniel Cade Hearing Site: Minneapolis, MN
20-00127	08/27/2020	Claimant(s): Melissa Kumalaputra Claimant Lawyers(s): Frances Menzer Respondent(s): U.S. Bancorp Investments. Respondent Lawyers(s): Steven M. Phillips Arbitrator(s): Robert D. Sussin Hearing Site: Los Angeles, CA
13-02892	12/06/2016	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Patrick G. King Respondent(s): Christopher Johnson, Randall Johnson Respondent Lawyers(s): Steven M. Phillips Arbitrator(s): Robert E. Robertson, Emily B. Boote, Douglas J. Nesbit Hearing Site: Minneapolis, MN
11-03951	11/28/2012	Claimant(s): Steven Schneiderman Claimant Lawyers(s): Gavin J. Fleming Respondent(s): Burton Street, RBC Capital Markets LLC Respondent Lawyers(s): Steven M. Phillips Arbitrator(s): Donald W. McKenzie, Harry Edward Resis, Michael Cotter Greenfield Hearing Site: Chicago, IL
08-04720	12/21/2009	Claimant(s): Piper Jaffray & Co., Piper Jaffray Companies Claimant Lawyers(s): Steven M. Phillips Respondent(s): Barney Cohen, Bradley Fisher, Richard Meyers, Scott Merriman, Scott Smallman, Steven Charlston, Warren Mach Respondent Lawyers(s): Amanda M. Knudsen Arbitrator(s): Hearing Site: Seattle, WA