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FINRA Awards for Baltimore, MD

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Displaying 51-60 out of 129 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0046301/11/2019Claimant(s): Kent Pearce
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Louis P. Wagman
Hearing Site: Baltimore, MD
18-0088901/07/2019Claimant(s): David Miller
Claimant Lawyers(s): Timothy Lynch
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Catherine Esther Bocskor
Hearing Site: Baltimore, MD
18-0029412/18/2018Claimant(s): Kent Pearce
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): James A. Hayes
Hearing Site: Baltimore, MD
18-0061611/15/2018Claimant(s): David Stack
Claimant Lawyers(s): Sarah Sawyer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Jane Tam
Hearing Site: Baltimore, MD
18-0061411/07/2018Claimant(s): David Stack
Claimant Lawyers(s): Sarah Sawyer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Janet Thomas Johnson
Hearing Site: Baltimore, MD
18-0063208/24/2018Claimant(s): Curtis Frazee
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Richard E. Lauziere
Hearing Site: Baltimore, MD
17-0072407/23/2018Claimant(s): Charles Laubach
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Stephanie Elliott, Talbot Albert, Chapin Davis.
Respondent Lawyers(s): Priscilla A. Donovan
Arbitrator(s): David L. Ruderman, John Leslie Coker, Debra Robina Curtis-Petties
Hearing Site: Baltimore, MD
17-0149305/31/2018Claimant(s): Stephen Owen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Baltimore, MD
17-0312205/14/2018Claimant(s): James Biggar, Thomas Graham
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): AXA Advisors
Respondent Lawyers(s): Hector D. Geribon
Arbitrator(s): Steven Irving Platt
Hearing Site: Baltimore, MD
17-0270903/15/2018Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Caryn Diamond Shaw
Respondent(s): Eddy Blizzard
Respondent Lawyers(s): Eddy Blizzard
Arbitrator(s): Steven T. Stern
Hearing Site: Baltimore, MD

129 Results

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