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FINRA Awards for James P Galvin

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Displaying 8 out of 8 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0050509/29/2023Claimant(s): David Wentz
Claimant Lawyers(s): James P Galvin
Respondent(s): Ameritas Investment Company
Respondent Lawyers(s): Andrea Snowden
Arbitrator(s): David A. Schuler
Hearing Site: Kansas City, MO
23-0018409/14/2023Claimant(s): Todd Smith
Claimant Lawyers(s): James P Galvin
Respondent(s): LPL Financial LLC, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff, Rochelle Mayfield
Arbitrator(s): Michael J Norton
Hearing Site: Albuquerque, NM
22-0231905/03/2023Claimant(s): Timothy Kneen
Claimant Lawyers(s): James P Galvin
Respondent(s): UBS Financial Services Inc., Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff, John Murphy
Arbitrator(s): Leonard Arthur Nelson, Tosh Daniel Grebenik, Matthew Stalcup
Hearing Site: Denver, CO
22-0232003/24/2023Claimant(s): Timothy Kneen
Claimant Lawyers(s): James P Galvin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Frances Johnson Wright
Hearing Site: Denver, CO
22-0065711/17/2022Claimant(s): Brent Ure
Claimant Lawyers(s): James P Galvin
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Louis M. Parker, Ann H. Nevers, Nancy Lynn Boyd
Hearing Site: Las Vegas, NV
22-0050708/24/2022Claimant(s): Ayad Amary
Claimant Lawyers(s): James P Galvin
Respondent(s): TIAA-CREF Individual & Institutional Ser
Respondent Lawyers(s): Julie Calderon Rizzo
Arbitrator(s): Louis P. Wagman, Hiren B Patel
Hearing Site: Philadelphia, PA
20-0405808/23/2021Claimant(s): Thomas Chaney
Claimant Lawyers(s): James P Galvin
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Gene R Thornton, John J. Fitzpatrick, Mary Margaret Bush
Hearing Site: Albuquerque, NM
20-0221202/02/2021Claimant(s): Jacob Goddard
Claimant Lawyers(s): James P Galvin
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Jeffrey M. Allen
Hearing Site: Salt Lake City, UT

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