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FINRA Awards for Nancy J. Spieczny

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Displaying 10 out of 11 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0310706/19/2018Claimant(s): Daniel Dodgen
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): AXA Advisors
Respondent Lawyers(s): Pamela Rosado
Arbitrator(s): Nancy J. Spieczny
Hearing Site: San Diego, CA
16-0279307/19/2017Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Rebecca L. Gerome
Respondent(s): Rex Ramsey
Respondent Lawyers(s): Christopher M. Carrillo
Arbitrator(s): Nancy J. Spieczny, Annette Gres Shepherd, Joseph L. Hagan
Hearing Site: Los Angeles, CA
15-0055106/17/2016Claimant(s): Thomas Garrity
Claimant Lawyers(s): Thomas P. Garrity
Respondent(s): Christopher Vanstelle, Mario Moretto, Steelpoint Securities.
Respondent Lawyers(s): Christopher Van Stelle
Arbitrator(s): Mark R. Lee, Nancy J. Spieczny, James Paul Estes
Hearing Site: San Diego, CA
11-0120301/26/2015Claimant(s): Jeffrey Rogers
Claimant Lawyers(s): Harvey C. Berger
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Timothy B. Del Castillo, Trish M. Higgins
Arbitrator(s): Herbert Murez, Nancy J. Spieczny, Vytas Tarulis
Hearing Site: San Diego, CA
11-0366211/19/2013Claimant(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): John Giansello
Respondent(s): John Simmons
Respondent Lawyers(s): Guy A. Ricciardulli
Arbitrator(s): Nancy J. Spieczny, Marsha Lee, Thomas L. Marshall
Hearing Site: San Diego, CA
12-0226405/20/2013Claimant(s): Lee Tripodi
Claimant Lawyers(s): Robert L. Hill
Respondent(s): Torrey Pines Securities.
Respondent Lawyers(s): Michael W. Jacobs
Arbitrator(s): Harvey C. Flodin, Brett W. Everhart, Nancy J. Spieczny
Hearing Site: San Diego, CA
09-0486904/18/2013Claimant(s): Wachovia Securities
Claimant Lawyers(s): Charles A. Hammaker
Respondent(s): Stifel, Nicolaus & Co.., Gary Endres
Respondent Lawyers(s): Andrew Shapren, Joseph A.. Dougherty
Arbitrator(s): Nancy J. Spieczny, Deanna Margaret Veitia, Brian William Heublein
Hearing Site: San Diego, CA
10-0037508/03/2012Claimant(s): Chris Jones, Wealth Rescue Strategies.
Claimant Lawyers(s): Clifford B. Altfeld, Todd S. Neal
Respondent(s): David Wheless, Robert Thompson, Sally Thompson, First Texas Alliance Corporation, NuSource Financial Group
Respondent Lawyers(s): Leonard J. Meyer, Mitchell S. Ostwald
Arbitrator(s): Harvey C. Flodin, Gunnar Thowsen, Nancy J. Spieczny
Hearing Site: San Diego, CA
10-0524302/08/2012Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Michael Delorenzo
Respondent Lawyers(s): Christine A. Page
Arbitrator(s): Nancy J. Spieczny
Hearing Site: Los Angeles, CA
10-0066408/04/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John C. Steele
Respondent(s): Piper Jaffray & Co., Mark Riley
Respondent Lawyers(s): John C. Steele, Marie C. Mirch
Arbitrator(s): Nancy J. Spieczny, Edward H. Davis, Arnold Packer
Hearing Site: San Diego, CA

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