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FINRA Awards for Dallas, TX

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Displaying 241-250 out of 375 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0108010/07/2013Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason Roberts
Respondent(s): Anthony Vaccaro
Respondent Lawyers(s): Anthony F. Vaccaro
Arbitrator(s): Charles A. Joplin, Sherrie R. Abney, Robert E. Treadaway
Hearing Site: Dallas, TX
12-0396309/11/2013Claimant(s): Next Financial Group.
Claimant Lawyers(s): Gary Klein
Respondent(s): Michael Kolacz
Respondent Lawyers(s): Michael D. Kolacz
Arbitrator(s): William E. Hartsfield
Hearing Site: Dallas, TX
12-0207709/09/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Brad Kirklin
Respondent(s): Richard Ainsworth
Respondent Lawyers(s): Richard K. Ainsworth
Arbitrator(s): Robert L. Yeager, G. Maynard Green, Robert E. Treadaway
Hearing Site: Dallas, TX
12-0269709/09/2013Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Dominique Heller
Respondent(s): Sandra Macdowell
Respondent Lawyers(s): Mark A. Hendrix
Arbitrator(s): Phillip Lee Scheldt
Hearing Site: Dallas, TX
13-0092809/06/2013Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): James Henning
Respondent Lawyers(s): James Henning
Arbitrator(s): Ann Blaess Kimball
Hearing Site: Dallas, TX
12-0412709/03/2013Claimant(s): LaTrina Wright
Claimant Lawyers(s): LaTrina Wright
Respondent(s): TIAA-CREF Individual & Institutional Ser
Respondent Lawyers(s): John M. Farrell
Arbitrator(s): Louis J. Weber, William E. Hartsfield, Margaret Louise Ruckriegel
Hearing Site: Dallas, TX
10-0354008/22/2013Claimant(s): Morgan Stanley
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): David Ferneding
Respondent Lawyers(s): Lowell N. Hawkes
Arbitrator(s): Robert C. Denenberg, Jeff Abrams, Joseph G. Werner
Hearing Site: Dallas, TX
12-0409108/09/2013Claimant(s): Mark Dubel
Claimant Lawyers(s): Michael A. Kalish
Respondent(s): Dallas Blagg, Robin Ward-Blagg
Respondent Lawyers(s): Jason A. Archinaco
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
Expungement
12-0003008/08/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Geremy Anderson
Respondent Lawyers(s): Geremy R. Anderson
Arbitrator(s): Maryanne M. Esser
Hearing Site: Dallas, TX
13-0020007/15/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Pylar Pinkston
Respondent Lawyers(s): Pylar Siria Pinkston
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX

375 Results

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