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FINRA Awards for AXA Advisors

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Displaying 51-60 out of 67 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0390612/10/2012Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Ronny Powell
Respondent Lawyers(s): Ronny W. Powell
Arbitrator(s): Marshal H. Emerson, John F. O'Neill, David Freeman
Hearing Site: Birmingham, AL
11-0308009/26/2012Claimant(s): Samuel Borger
Claimant Lawyers(s): Samuel J Borger
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kenneth O'Connor
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
12-0119809/04/2012Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Samuel McCormick
Respondent Lawyers(s): Samuel Troy McCormick
Arbitrator(s): Michael G. Clark
Hearing Site: Portland, OR
11-0391003/22/2012Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): William Adelsberger
Respondent Lawyers(s): William George Adelsberger
Arbitrator(s): Thomas B. Corey
Hearing Site: Baltimore, MD
11-0390903/01/2012Claimant(s): AXA Advisors
Claimant Lawyers(s): Don R. Boswell
Respondent(s): Alan Gross
Respondent Lawyers(s): Alan H. Gross
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
11-0092110/12/2011Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): William Miller
Respondent Lawyers(s): William Donald Miller
Arbitrator(s): R. Phillip Reed
Hearing Site: Wichita, KS
11-0090210/11/2011Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Richard Klukkert
Respondent Lawyers(s): Richard Klukkert
Arbitrator(s): Charles Sydnor Thompson
Hearing Site: Columbia, SC
09-0231603/09/2011Claimant(s): Jay Wilen, Robert Paff
Claimant Lawyers(s): David W. Erb
Respondent(s): AXA Advisors, AXA Network
Respondent Lawyers(s): Kenneth O'Connor
Arbitrator(s): Daniel J. Donovan, Sandra Lee Dolan, William O. SanFord
Hearing Site: Baltimore, MD
10-0059702/22/2011Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Shawn Wooden
Respondent Lawyers(s): Shawn Wooden
Arbitrator(s): Bruce K. Isenberg, Mark I. Roth, Marcy R. Greer
Hearing Site: Ft. Lauderdale, FL
10-0129602/09/2011Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Danny Miller
Respondent Lawyers(s): Danny Robert Miller
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL

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