FINRA Awards for Baltimore, MD

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

Displaying 11-20 out of 129 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
23-00332	10/18/2023	Claimant(s): Brian Gardiner Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Equitable Advisors Respondent Lawyers(s): Kevin W. Brooks Arbitrator(s): William James Pantele Hearing Site: Baltimore, MD
22-00500	01/23/2023	Claimant(s): Hai Xu Claimant Lawyers(s): Marc D Schifanelli Respondent(s): HSBC Securities (USA) Inc. Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Jeffrey Axelrad Hearing Site: Baltimore, MD
21-00148	12/15/2022	Claimant(s): Truist Investment Services. Claimant Lawyers(s): Jeffrey M. Lichtstein Respondent(s): Christopher Walter Respondent Lawyers(s): Christopher Russell Walter Arbitrator(s): Shelley Simons Korch, Kathy Davidson Ireland, James Ray Eyler Hearing Site: Baltimore, MD
21-02607	10/26/2022	Claimant(s): Constantine Matsakis Claimant Lawyers(s): Christopher D. Warren Respondent(s): Equitable Advisors Respondent Lawyers(s): Matthew I. Penfield Arbitrator(s): Nancy E. Watters, John L. Bruch, Cherelle K Donaldson Hearing Site: Baltimore, MD
22-00322	10/18/2022	Claimant(s): Marat Kushner Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Nuviah Shirazi Arbitrator(s): Laura A. Kaster Hearing Site: Baltimore, MD
22-00631	09/30/2022	Claimant(s): Kevin Nolan Claimant Lawyers(s): Denis Dice Respondent(s): Db Alex. Brown LLC Respondent Lawyers(s): Deutsche Banc Alex Brown Inc. Arbitrator(s): Richard E. Lauziere, Patricia M. Maher, Jay B. Bachar Hearing Site: Baltimore, MD
22-00143	09/28/2022	Claimant(s): Nilos Sakellariou Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Glen Eagle Wealth Respondent Lawyers(s): Andrew M. DeLucia, W. Preston Martin Arbitrator(s): Thomas B. Corey Hearing Site: Baltimore, MD
21-02658	08/26/2022	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing Claimant Lawyers(s): Alan S. Brodherson Respondent(s): John Baer Respondent Lawyers(s): John Charles Baer Arbitrator(s): Richard E. Lauziere Hearing Site: Baltimore, MD
22-00265	08/12/2022	Claimant(s): Michael Achatz Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Christopher F. Robertson Arbitrator(s): Douglas Earl McLaren Hearing Site: Baltimore, MD
19-03575	04/04/2022	Claimant(s): Kimberly Hartman Claimant Lawyers(s): Brittany Weiner Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Denis Dice Arbitrator(s): Ellen F. Kandell, James Ray Eyler, Michele Francene Dandrea Hearing Site: Baltimore, MD