FINRA Awards for Phoenix, AZ

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Displaying 241-245 out of 245 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
07-02677	05/13/2008	Claimant(s): Wells Fargo Investments Claimant Lawyers(s): Diane C. Fischer Respondent(s): Daniel Voss Respondent Lawyers(s): Mark L. Kowalsky Arbitrator(s): Bruce A. Lindvig Hearing Site: Phoenix, AZ
05-06100	04/10/2008	Claimant(s): Wells Fargo Investments Claimant Lawyers(s): Diane C. Fischer Respondent(s): Theodore Larsen Respondent Lawyers(s): Theodore A. Larsen Arbitrator(s): Stephen L. Przewlocki, Paul J. Phillips, James W. Warren Hearing Site: Phoenix, AZ
07-01520	01/31/2008	Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Terry Vail Respondent Lawyers(s): Terry Joe Vail Arbitrator(s): Ronald K. Sprague Hearing Site: Phoenix, AZ
06-05318	10/25/2007	Claimant(s): Ann Serrato Claimant Lawyers(s): Michael C. Deutsch Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Julie Fleming-Wolfe Arbitrator(s): Jerry H. Friedland, Richard I. Topus, Barbara Mark-Dreyfuss Hearing Site: Phoenix, AZ
06-01674	09/04/2007	Claimant(s): Mark Quale Claimant Lawyers(s): Theodore G. Eppenstein Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Carol B. Trask Arbitrator(s): Marc Kalish, Beryl I. Dulsky, Denis Frank Hearing Site: Phoenix, AZ