FINRA Awards for Securities Service Network

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

Displaying 7 out of 7 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
22-00755	01/26/2023	Claimant(s): David Brooks Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Securities Service Network Respondent Lawyers(s): Jennifer R. Cox Arbitrator(s): Philip J. Glick Hearing Site: St. Louis, MO
22-00823	12/14/2022	Claimant(s): Anthony Cosey Claimant Lawyers(s): Dochtor Kennedy Respondent(s): American General Equity Services Corp., Securities Service Network, Silver Oak Securitiesorporated Respondent Lawyers(s): Doug Baxley, Jennifer R. Cox, Michael S. Cargnel Arbitrator(s): Harvey R. Linder Hearing Site: Nashville, TN
22-00112	11/01/2022	Claimant(s): Thomas Hine Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Securities Service Network Respondent Lawyers(s): Jennifer R. Cox Arbitrator(s): Catherine Stewart Hearing Site: Hartford, CT
21-01207	06/13/2022	Claimant(s): David Fennema Claimant Lawyers(s): Ariel Okonsky Respondent(s): Securities Service Network Respondent Lawyers(s): Records Custodian Arbitrator(s): Tracy L. Allen Hearing Site: Detroit, MI
19-02077	02/07/2020	Claimant(s): Michael O'Reilly Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Securities Service Network Respondent Lawyers(s): Ronald T. Klimas, Compliance Director Arbitrator(s): Michael S. Matek Hearing Site: St. Louis, MO
18-01117	11/14/2018	Claimant(s): Frank Cuenca Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Securities Service Network, Llc Respondent Lawyers(s): Ronald T. Klimas Arbitrator(s): Mark R. Lee Hearing Site: San Diego, CA
18-01253	09/27/2018	Claimant(s): Timothy Sullivan Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Securities Service Network Respondent Lawyers(s): Ronald T. Klimas Arbitrator(s): Michael Lancaster Garcia Hearing Site: San Francisco, CA