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FINRA Awards for Fifth Third Securities.

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Displaying 11-17 out of 17 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0024408/10/2018Claimant(s): Mykel Barnes
Claimant Lawyers(s): John A. Hubbard
Respondent(s): Ameriprise Financial Services, Fifth Third Securities.
Respondent Lawyers(s): Allan S. Rubin, Howard M. Klausmeier
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
14-0325709/19/2016Claimant(s): Milton Flanagan
Claimant Lawyers(s): Stephany McLaughlin
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Moyenda M. Knapp
Arbitrator(s): Sheldon I. Saitlin, David J. Langseth, Scott E. Rexroad
Hearing Site: Chicago, IL
13-0100206/03/2013Claimant(s): CCO Investment Services Corp., RBS Citizens, N.A.
Claimant Lawyers(s): David Belcher
Respondent(s): Fifth Third Securities., Nathan Bartow
Respondent Lawyers(s): Edmond J. Mack, Marion H. Little
Arbitrator(s): Jason C. Blackford, Mitchell B. Goldberg, James E. Zimmerman
Hearing Site: Cleveland, OH
10-0442612/28/2011Claimant(s): Eric Goldstein
Claimant Lawyers(s): Adam D. Herzog
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Lynn U. Thorpe
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
10-0555208/04/2011Claimant(s): Daniel Doyle
Claimant Lawyers(s): Roger W. Van Deusen
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Vincent T. Norwillo
Arbitrator(s): Thomas R. Skulina, Joseph Edelstein, Stephen M. Bales
Hearing Site: Cleveland, OH
07-0228009/10/2008Claimant(s): Charles Kromer
Claimant Lawyers(s): Megan Clark
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): David K. Montgomery
Arbitrator(s): Charles D. Underwood, Debora A. Caley, Christy K. Radigan
Hearing Site: Cincinnati, OH
07-0234004/04/2008Claimant(s): Michael Teall
Claimant Lawyers(s): Robert W. Mysliwiec
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Joseph M. Callow
Arbitrator(s): Marc B. Horin, Robert L. Agusto, Gordon B. Shneider
Hearing Site: Chicago, IL

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