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FINRA Awards for Piper Jaffray & Co.

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Displaying 10 out of 24 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0008909/12/2023Claimant(s): Jason Millner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Bridget Larsen
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Bismarck, ND
22-0181603/17/2023Claimant(s): Robert Stanlick
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Piper Jaffray & Co., Geneos Wealth Management
Respondent Lawyers(s): Bridget Larsen, Victoria H. Buter
Arbitrator(s): Tina Alison Davis, Douglas Lou Dombey, Fernando Lugo
Hearing Site: Denver, CO
22-0015512/14/2022Claimant(s): Michael Self
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Prudential Equity Group, Piper Jaffray & Co.
Respondent Lawyers(s): Bridget Wherley, Jennifer E. Novoselsky
Arbitrator(s): Deana S. Peck, Richard Kent Mahrle, Matthew G. McGinnis
Hearing Site: Phoenix, AZ
20-0227701/18/2022Claimant(s): Christopher Scroggins
Claimant Lawyers(s): Avi Rosenfeld
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Ann McCague
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
20-0305305/18/2021Claimant(s): Mark Gaskill
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Ann C. McCague
Arbitrator(s): Katherine Hendricks
Hearing Site: Portland, OR
20-0093902/18/2021Claimant(s): James Azeltine
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Ann McCague
Arbitrator(s): John R. Loss
Hearing Site: Kansas City, MO
18-0177202/12/2019Claimant(s): James Phillips
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Denise Hammond
Arbitrator(s): Paul H. Lamboley
Hearing Site: Salt Lake City, UT
17-0335511/15/2018Claimant(s): Charles Duddingston
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Ann McCague
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
18-0041710/22/2018Claimant(s): Michael Butt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Piper Jaffray & Co., Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman, Denise M. Hammond
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
17-0350609/19/2018Claimant(s): Michael Butt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Ann C. McCague
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ

24 Results

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