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FINRA Awards for Chicago, IL

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Displaying 191-200 out of 408 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0153306/05/2018Claimant(s): James Piff
Claimant Lawyers(s): Michael Davis
Respondent(s): John Clarke, Kevin Gillespie, Midtown Partners
Respondent Lawyers(s): Saul Roffe
Arbitrator(s): James J. Stamos, David J. Dahl, Frances P. Kao
Hearing Site: Chicago, IL
17-0274606/04/2018Claimant(s): Jeffrey Mackevich
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David Hantman
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
17-0245305/31/2018Claimant(s): Louis Paster, Paul Tashima
Claimant Lawyers(s): William Preston Martin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Robert S. Sugarman
Hearing Site: Chicago, IL
17-0120103/16/2018Claimant(s): Alex Papadopoulos
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc., LaSalle Financial Services.
Respondent Lawyers(s): Sarah Yates
Arbitrator(s): James A. Murphy
Hearing Site: Chicago, IL
17-0253903/16/2018Claimant(s): Norman Schlismann
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Mesirow Financial.
Respondent Lawyers(s): Jeffrey Levine
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Chicago, IL
17-0135302/27/2018Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Manoj R. Andalkar
Respondent(s): Mark Flanagan
Respondent Lawyers(s): Mark Joseph Flanagan
Arbitrator(s): Sal Presti
Hearing Site: Chicago, IL
17-0102701/30/2018Claimant(s): Genevieve Mar
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Bradley A. Fishman
Arbitrator(s): Kenneth N. Adamson
Hearing Site: Chicago, IL
16-0311401/23/2018Claimant(s): James Defano
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): PNC Investments
Respondent Lawyers(s): Gary Lieberman
Arbitrator(s):
Hearing Site: Chicago, IL
16-0333412/22/2017Claimant(s): Frank Martin
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Harry L. Sheehy, Elizabeth C. Simon
Hearing Site: Chicago, IL
17-0003112/18/2017Claimant(s): James McQuinn
Claimant Lawyers(s): James Peter McQuinn
Respondent(s): Alexandra Moran, Ameriprise Financial Services., Jacob Dunlap
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Michael S. Matek, Daniel R. Formeller, Charles Orlove
Hearing Site: Chicago, IL

408 Results

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