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FINRA Awards for Piper Jaffray & Co.

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Displaying 21-24 out of 24 results
Case Number Award Date Case Summary Customer Case? Amount Granted
08-0472312/21/2009Claimant(s): Piper Jaffray & Co., Piper Jaffray Companies
Claimant Lawyers(s): Julie A. Kole
Respondent(s): Michael Luby
Respondent Lawyers(s): Stephen S. Mayne
Arbitrator(s):
Hearing Site: Kansas City, MO
08-0472412/21/2009Claimant(s): Piper Jaffray & Co., Piper Jaffray Companies
Claimant Lawyers(s): Julie A. Kole
Respondent(s): Jack Swenson, John Thorn, Michael Swenson
Respondent Lawyers(s): Amanda M. Knudsen
Arbitrator(s):
Hearing Site: Minneapolis, MN
04-0124803/19/2008Claimant(s): Piper Jaffray & Co.
Claimant Lawyers(s): Elizabeth H. Lindh
Respondent(s): Alan Fishman
Respondent Lawyers(s): R. Craig Zafis
Arbitrator(s): James J. Dobbin, Harris J. Howard, Robert Jay Filderman
Hearing Site: San Diego, CA
06-0385411/30/2007Claimant(s): Margie Aguirre
Claimant Lawyers(s): Linda M. Deola
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Jeanne M. Bender
Arbitrator(s): Clifford N. Coury, Kevin D. Swenson, James F. Zotter
Hearing Site: Helena, MT

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