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FINRA Awards for Patrick R. Sughroue

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Displaying 11-20 out of 30 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0043801/29/2020Claimant(s): Elizabeth Foley, Erik Brenner
Claimant Lawyers(s): Thomas M. Campbell
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): John T. Sullivan
Arbitrator(s): Patrick R. Sughroue, Ann Wilhelmina Kuppe, Sandra Franklin
Hearing Site: Detroit, MI
19-0293901/21/2020Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Thomas P. Dillon
Respondent(s): Kenneth Bolda
Respondent Lawyers(s): Kenneth Edward Bolda
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
19-0166410/30/2019Claimant(s): Citizens Securities.
Claimant Lawyers(s): Brenna A. Force
Respondent(s): Ronny Acluche
Respondent Lawyers(s): Ronny Acluche
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
18-0188010/31/2018Claimant(s): Keith Nast
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Lincoln Financial Securities Corporation
Respondent Lawyers(s): Michael W. Arnold
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
18-0017510/23/2018Claimant(s): Jeffrey Fratarcangeli
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): William C. Kubicz, Robert J. Scafuri, Patrick R. Sughroue
Hearing Site: Detroit, MI
18-0024408/10/2018Claimant(s): Mykel Barnes
Claimant Lawyers(s): John A. Hubbard
Respondent(s): Ameriprise Financial Services, Fifth Third Securities.
Respondent Lawyers(s): Allan S. Rubin, Howard M. Klausmeier
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
17-0042705/22/2018Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Mark Vanaelst
Respondent Lawyers(s): Mark David Vanaelst
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
17-0233103/29/2018Claimant(s): Charles Zhang
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): John F. Burns, Patrick R. Sughroue, Stephen D. Arkwright
Hearing Site: Detroit, MI
17-0130712/22/2017Claimant(s): Kevin Fifield
Claimant Lawyers(s): Stuart Sinai
Respondent(s): LPL Financial LLC, MML Investors Services
Respondent Lawyers(s): Barbara H. Kramer, Jon Kaplon
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
17-0073611/16/2017Claimant(s): Kevin Fifield
Claimant Lawyers(s): Stuart Sinai
Respondent(s): Securities America.
Respondent Lawyers(s): Janine Lucas
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI

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