FINRA Awards for Baltimore, MD

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 111-120 out of 130 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
09-02316	03/09/2011	Claimant(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
10-01651	12/23/2010	Claimant(s): RBC Capital Markets LLC Claimant Lawyers(s): Patrick J. Howley Respondent(s): William Whitehurst Respondent Lawyers(s): William Whitehurst Arbitrator(s): David Paul Clark Hearing Site: Baltimore, MD
10-03358	12/07/2010	Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Gregg W. Marsano Respondent(s): David Bredenburg Respondent Lawyers(s): David Bredenburg Arbitrator(s): Peter B. Vaden Hearing Site: Baltimore, MD
10-01222	11/09/2010	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Stephen Burns Respondent(s): Hansel Toppin Respondent Lawyers(s): Hansel Clayton Toppin Arbitrator(s): E. William Pastor Hearing Site: Baltimore, MD
10-01963	10/07/2010	Claimant(s): Morgan Stanley Claimant Lawyers(s): Mauricio S. Beugelmans Respondent(s): Brent Hawk Respondent Lawyers(s): John L. Senft Arbitrator(s): E. William Pastor Hearing Site: Baltimore, MD
09-02853	08/17/2010	Claimant(s): Richard Osman Claimant Lawyers(s): Janet K. DeCosta Respondent(s): James Weslow, Richard Plant Respondent Lawyers(s): Edward E. Sharkey Arbitrator(s): Richard A Compisi, Gordon M. Wase, Thomas E. Maloney Hearing Site: Baltimore, MD
10-01113	08/12/2010	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Renan I. Sugarman Respondent(s): Fred Brown Respondent Lawyers(s): Fred Brown Arbitrator(s): Marshall S. Galinsky Hearing Site: Baltimore, MD
09-04418	07/09/2010	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Stephen D. Burns Respondent(s): William Adelsberger Respondent Lawyers(s): William G. Adelsberger Arbitrator(s): Ralph S. Blascovich Hearing Site: Baltimore, MD
09-00606	10/26/2009	Claimant(s): Royal Alliance Associates. Claimant Lawyers(s): Gerry Kowalski Respondent(s): Joseph Scarborough Respondent Lawyers(s): Ramsay M. Whitworth Arbitrator(s): Walter Peterson, Robert T. Reeves, Gregory R. Banasz Hearing Site: Baltimore, MD
08-03618	10/01/2009	Claimant(s): Ameriprise Financial Services., Ameriprise Financial. Claimant Lawyers(s): John L. Einstein Respondent(s): Martin Smith Respondent Lawyers(s): Musa L. Eubanks Arbitrator(s): David L. Ruderman, Gregory R. Banasz, David Paul Clark Hearing Site: Baltimore, MD