FINRA Awards for Melvin G. Moseley

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
23-02889	07/29/2024	Claimant(s): Jeannette Adcock Claimant Lawyers(s): Nathan W. Lamb Respondent(s): Wintrust Investments LLC Respondent Lawyers(s): Melvin G. Moseley Arbitrator(s): Theodore W. Wrobleski Hearing Site: Chicago, IL
15-02080	10/11/2016	Claimant(s): BMO Harris Financial Advisors. Claimant Lawyers(s): Maria Kreiter Respondent(s): Neil Moscicki, Wayne Hummer Investments L.L.C. Respondent Lawyers(s): Melvin G. Moseley Arbitrator(s): Frank Samuelsohn, Thomas F. Mahoney, Michael F. Jordan Hearing Site: Chicago, IL
10-00210	01/14/2011	Claimant(s): Paul Stanley Claimant Lawyers(s): Marc A. Goldman Respondent(s): Dennis Brown, Kimberly Liddell, Equitas America Respondent Lawyers(s): Melvin G. Moseley Arbitrator(s): Peter S. Viviano, Kenneth J. Safran, Jonathan Edward Maire Hearing Site: Detroit, MI
08-02433	07/31/2009	Claimant(s): Bevery Hills Bank & Trust Company, Wayne Hummer Investments LLC Claimant Lawyers(s): Melvin G. Moseley Respondent(s): Daniel Hack, Citigroup Global Markets., Mary Anderson, Marybeth Oconnor, Michelle Hughes, Patricia Marsh, Phillip Burno, Tracy Polselli Respondent Lawyers(s): Tiffany C. Woodie Arbitrator(s): Richard G Clemens, Joy Pava Shulruff, Rody P. Biggert Hearing Site: Chicago, IL		Expungement