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FINRA Awards for Dallas, TX

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Displaying 181-190 out of 375 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0331206/23/2017Claimant(s): Lori Welborn
Claimant Lawyers(s): Stuart M. Reynolds
Respondent(s): Colonial Brokerage.
Respondent Lawyers(s): Dan Overbey, Managing Dir.
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Dallas, TX
16-0344406/13/2017Claimant(s): Robert Packer
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Susan Beyer, Vernon Beyer, The Beyer 2014 Trust, The VEB Trust, The Vernon Beyer Descendant Trust
Respondent Lawyers(s): John L. Dagley
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
Expungement
15-0212505/19/2017Claimant(s): Commerce Street Capital
Claimant Lawyers(s): Sonja J. McGill
Respondent(s): Eric Rosiak, T. Akers
Respondent Lawyers(s): Elise M. Baumgarten
Arbitrator(s): William E. Hartsfield, David A. Schuler, Angela Perri White
Hearing Site: Dallas, TX
17-0023905/17/2017Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Alvin Blancett
Respondent Lawyers(s): Alvin Wayne Blancett
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
16-0266605/03/2017Claimant(s): Joseph Piellucci
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Advisors, UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz, Michael Naccarato
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
16-0294404/07/2017Claimant(s): Glen Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Lacy M. Triplett
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
16-0270102/01/2017Claimant(s): Michael Magruder
Claimant Lawyers(s): David E. Robbins
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Dineo Coleman Gary, Eric Ross Cromartie, Douglas Ken Rudley
Hearing Site: Dallas, TX
15-0301501/30/2017Claimant(s): Edward Butowsky
Claimant Lawyers(s): Shauna Izadi
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Lesley V. Tepper
Arbitrator(s): Jeff Abrams, C. Sumpter Logan, Larry N. Quinn
Hearing Site: Dallas, TX
16-0166201/27/2017Claimant(s): Matthew Lowe
Claimant Lawyers(s): David E. Robbins
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): Jeff Abrams, Linda B. Kelly, Edward S. Koppman
Hearing Site: Dallas, TX
16-0139112/19/2016Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Jay Davis
Respondent Lawyers(s): Jay Robert Davis
Arbitrator(s): Ronald G. Johnson, C. Sumpter Logan, Edward J. Lynch
Hearing Site: Dallas, TX

375 Results

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