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FINRA Awards for AXA Advisors

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Displaying 10 out of 67 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0320107/06/2021Claimant(s): Curtis Broom, Joseph Moore
Claimant Lawyers(s): Andrew Allen
Respondent(s): AXA Advisors, AXA Network LLC
Respondent Lawyers(s): Matthew I. Penfield
Arbitrator(s): Fern H Singer
Hearing Site: Birmingham, AL
20-0139306/22/2021Claimant(s): Anil Gulati
Claimant Lawyers(s): Louis Tambaro
Respondent(s): Woodbury Financial Services., AXA Advisors
Respondent Lawyers(s): Chad Weaver, Michael Bryant
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
20-0271506/21/2021Claimant(s): Darin Gibson
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): AXA Advisors
Respondent Lawyers(s): Michael Bryant
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
21-0002206/01/2021Claimant(s): Norbert Filian
Claimant Lawyers(s): Christopher Seps
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kevin W. Brooks
Arbitrator(s): Leon Fox, Michael R. Sherwin, Stephen M. Parlier
Hearing Site: Chicago, IL
20-0137404/15/2021Claimant(s): Louis Rusinowitz
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors
Respondent Lawyers(s): Michael J. Biondi
Arbitrator(s): Harvey Barrison
Hearing Site: New York, NY
20-0251303/26/2021Claimant(s): Steven Kennedy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors
Respondent Lawyers(s): Johan E. Tatoy
Arbitrator(s): Denise L. Quarles
Hearing Site: Albany, NY
20-0099003/25/2021Claimant(s): Charles Stanton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors
Respondent Lawyers(s): Annette K. Ebright
Arbitrator(s): Robert M Stein
Hearing Site: Seattle, WA
20-0132402/08/2021Claimant(s): Trevor Roberts
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kevin W. Brooks
Arbitrator(s): William F. Etherington
Hearing Site: Richmond, VA
20-0172901/19/2021Claimant(s): Joseph Davis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors
Respondent Lawyers(s): Annette K. Ebright
Arbitrator(s): Donald N. Tolin
Hearing Site: Salt Lake City, UT
20-0092512/22/2020Claimant(s): Gregg Martinsen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kevin W. Brooks
Arbitrator(s): Tracy L. Allen
Hearing Site: Buffalo, NY

67 Results

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