FINRA Awards for Arne R. Rode

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Displaying 5 out of 5 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
22-00940	11/15/2022	Claimant(s): Anthony Vito Claimant Lawyers(s): Brian Luther Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A. Pizzitola Arbitrator(s): Arne R. Rode Hearing Site: Chicago, IL
16-03756	03/14/2020	Claimant(s): Daniel Jakuta, David Heide, John Golen, Mark Anderson Claimant Lawyers(s): Nicholas P. Iavarone Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Rima F. Hartman Arbitrator(s): Mark L Miller, Arne R. Rode, Alfonso Cobb Hearing Site: Chicago, IL
18-00564	11/18/2019	Claimant(s): Interactive Financial Advisors. Claimant Lawyers(s): James L. Kopecky Respondent(s): GWN Securities Inc. Respondent Lawyers(s): Kathy Klock Arbitrator(s): Theodore W. Wrobleski, Arne R. Rode, John Michael O'Toole Hearing Site: Chicago, IL
18-03767	06/05/2019	Claimant(s): Jason Spears Claimant Lawyers(s): Jason P. Spears Respondent(s): NYLife Securities LLC Respondent Lawyers(s): Richard F. Lubarsky Arbitrator(s): Arne R. Rode Hearing Site: Chicago, IL
07-02377	11/19/2008	Claimant(s): Shirish Shah Claimant Lawyers(s): Mitchell Kline Respondent(s): Nilam Patel, New York Life Insurance Respondent Lawyers(s): David S. Baffa, Michael A. Warner Arbitrator(s): Arne R. Rode, Mitchell Lee Marinello, David J. Dahl Hearing Site: Chicago, IL