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FINRA Awards for Patrick R. Sughroue

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Displaying 21-30 out of 30 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0321405/17/2017Claimant(s): Daryl Debol
Claimant Lawyers(s): David R. Hudson
Respondent(s): George Case, Sharon Case
Respondent Lawyers(s): George Case, Sharon Case
Arbitrator(s): Jeffry M. Bauer, Patrick R. Sughroue, Ann Wilhelmina Kuppe
Hearing Site: Detroit, MI
Expungement
15-0005804/19/2017Claimant(s): Bethany Pagnani, Michael Rollins
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): James Furlong, Fidelity Brokerage Services LLC, Fidelity Investments Institutional Srvcs, Roger Trapp
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Timothy J. Currier, Patrick R. Sughroue, Eugene Kenneth Laporte
Hearing Site: Detroit, MI
15-0108608/23/2016Claimant(s): Waddell & Reed
Claimant Lawyers(s): Eric Martin
Respondent(s): J-Thaddeus McGaffey
Respondent Lawyers(s): J-Thaddeus Peter McGaffey
Arbitrator(s): Jack J. Mazzara, Patrick R. Sughroue, Charlene Johnson
Hearing Site: Detroit, MI
15-0135711/11/2015Claimant(s): Dustin Leach
Claimant Lawyers(s): Nathaniel R. Wolf
Respondent(s): American Portfolios Financial Services,
Respondent Lawyers(s): Frank A. Tauches
Arbitrator(s): D. Michael Kratchman, Patrick R. Sughroue, Richard Edward Rassel
Hearing Site: Detroit, MI
12-0069111/10/2015Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Bradley Lott
Respondent Lawyers(s): Mark L. Kowalsky
Arbitrator(s): Patrick R. Sughroue, James L. Karpen, William C. Alsover
Hearing Site: Detroit, MI
11-0391512/07/2012Claimant(s): Richard Paul
Claimant Lawyers(s): Peter C. Rageas
Respondent(s): Allegiant Securities L.L.C.
Respondent Lawyers(s): Dennis Flanagan Jr., President
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
12-0109010/24/2012Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Michael Johnson
Respondent Lawyers(s): Michael Joseph Johnson
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
11-0167901/18/2012Claimant(s): Kevin Fifield
Claimant Lawyers(s): Jon M. Bylsma
Respondent(s): Securities America.
Respondent Lawyers(s): Dennis J. Levasseur
Arbitrator(s): Patrick R. Sughroue, Leonard R. Present, Conrad W. Koski
Hearing Site: Detroit, MI
09-0261907/22/2010Claimant(s): Matthew Weisberg
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): John R. Main, Harvey Frank, Patrick R. Sughroue
Hearing Site: Detroit, MI
07-0146902/24/2009Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Christopher Theut
Respondent Lawyers(s): Jack J. Mazzara
Arbitrator(s): Mauricio Kohn, Patrick R. Sughroue, Eric S. Richards
Hearing Site: Detroit, MI

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