FINRA Awards for First Allied Securities.

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 41-48 out of 48 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
10-03909	09/27/2012	Claimant(s): First Allied Securities. Claimant Lawyers(s): Anne K. Yannakakis Respondent(s): Douglas Bohrer Respondent Lawyers(s): Douglas Bohrer Arbitrator(s): Linda T. Pellegrino Hearing Site: Newark, NJ
10-01116	11/14/2011	Claimant(s): Michael Di Pietro Claimant Lawyers(s): Marie C. Mirch Respondent(s): First Allied Securities. Respondent Lawyers(s): Jeffrey Compton Arbitrator(s): Kenneth E. Owen, Larry Haugaard, Morris S. Getzels Hearing Site: Los Angeles, CA
10-02076	11/11/2011	Claimant(s): First Allied Securities. Claimant Lawyers(s): Anne K Yannakakis Respondent(s): David Reneau Respondent Lawyers(s): Ron S. Iddins Arbitrator(s): Robert H. Putnam, David K. Weiskircher, Judith Stilz Ogden Hearing Site: Atlanta, GA
10-03798	07/29/2011	Claimant(s): First Allied Securities. Claimant Lawyers(s): Anne Yannakakis Respondent(s): Humbert Michini Respondent Lawyers(s): Humbert A. Michini Arbitrator(s): James D. Knotter Hearing Site: San Diego, CA
09-00888	08/04/2009	Claimant(s): First Allied Securities. Claimant Lawyers(s): Marion J. Vomhof Respondent(s): Anthony Troia Respondent Lawyers(s): Anthony Charles Troia Arbitrator(s): Eric J. Sussman Hearing Site: New York, NY
08-00125	02/11/2009	Claimant(s): First Allied Securities. Claimant Lawyers(s): Anne Yannakakis Respondent(s): Peter Holst Respondent Lawyers(s): Peter Anthony Holst Arbitrator(s): Lester G. Stiel, Roger T. Verhage, Mary Elizabeth Geerdes Hearing Site: San Diego, CA
07-02792	10/30/2008	Claimant(s): First Allied Securities. Claimant Lawyers(s): Marion J. Vomhof Respondent(s): Stephen Brown Respondent Lawyers(s): Robert S. Banks Arbitrator(s): Gregory L. Abbott, Grant E. Griffith, Michael G. Hanlon Hearing Site: Portland, OR
06-04186	05/23/2008	Claimant(s): James Sarkauskas, Brokers Turn. Claimant Lawyers(s): Jeffrey J. Scott Respondent(s): First Allied Securities. Respondent Lawyers(s): Matthew J. Smith Arbitrator(s): Robert F. O'Keef, James P. O'Donnell, Richard C. Ninneman Hearing Site: Milwaukee, WI