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FINRA Awards for Phoenix, AZ

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Displaying 11-20 out of 245 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0260101/24/2024Claimant(s): Joseph Doku
Claimant Lawyers(s): Christopher H Tovar
Respondent(s): Mutual of America Securities LLC
Respondent Lawyers(s): John McLean
Arbitrator(s): Lanny M. Leff, Michael Kelley, Richard Kent Mahrle
Hearing Site: Phoenix, AZ
23-0136501/18/2024Claimant(s): Michelle Anthony
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Chase Investment Services Corp., Wells Fargo Clearing Services
Respondent Lawyers(s): Charlton Young, Neal S. Robb
Arbitrator(s): Erik R. Siering
Hearing Site: Phoenix, AZ
23-0181912/22/2023Claimant(s): Jessica Peabody
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Justin E. Condit
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
23-0134612/01/2023Claimant(s): Ryan Loynd
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Coastal Equities.
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
23-0120811/14/2023Claimant(s): Ziad Meziab
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities., SunAmerica Securities.
Respondent Lawyers(s): Jennifer E. Novoselsky, Jennifer R. Cox
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Phoenix, AZ
23-0016010/04/2023Claimant(s): Paul Siegel
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Phoenix, AZ
20-0235609/29/2023Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Gary I. Blackman
Respondent(s): Scott Reed
Respondent Lawyers(s): Caroline Saunders
Arbitrator(s): Marc Kalish, Althea P. Halchuck, LeRoy Melvin Gilbertson
Hearing Site: Phoenix, AZ
23-0059809/26/2023Claimant(s): Aaron Gordon
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): New England Securities Corporation
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Walter Steven Schwartz, Jason Robinson, John F Mencer
Hearing Site: Phoenix, AZ
23-0016109/15/2023Claimant(s): Paul Siegel
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Emily Z. Culbertson
Arbitrator(s): Timothy J. Kroll
Hearing Site: Phoenix, AZ
22-0020307/28/2023Claimant(s): United Planners' Financial Services Of A
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Dan Droeg
Respondent Lawyers(s): Mark D. Chester
Arbitrator(s): Floyd Gerry Hoffman, Raymond George Seifritz, Wilbur Thomas Eggleston
Hearing Site: Phoenix, AZ

245 Results

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