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FINRA Awards for Sara B. Davis

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Displaying 10 out of 37 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0165002/09/2023Claimant(s): Russell Mcalonie
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC, MML Investors Services
Respondent Lawyers(s): Julie E. Ravis, Sara B. Davis
Arbitrator(s): Gregory G. Gocek
Hearing Site: Cleveland, OH
22-0029310/17/2022Claimant(s): Brian Kurland
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Stephany Adriene Watson
Hearing Site: Portland, OR
21-0278609/09/2022Claimant(s): Boris Desancic
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Charles Scott McClellan
Hearing Site: Seattle, WA
20-0006711/29/2021Claimant(s): Gary Deardorff
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): LPL Financial LLC, Next Financial Group.
Respondent Lawyers(s): John T. Unger, Sara B. Davis
Arbitrator(s): Michael Kelley
Hearing Site: Phoenix, AZ
20-0308511/12/2021Claimant(s): Samuel Izaguirre
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC, Chase Investment Services Corp.
Respondent Lawyers(s): Michael A. Gross, Sara B. Davis
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
21-0017009/17/2021Claimant(s): Lisa Kulhavi
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
20-0302809/08/2021Claimant(s): Joshua Stroud
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Sara B. Davis, Shelley Davenport
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Portland, OR
20-0354608/11/2021Claimant(s): James Segal
Claimant Lawyers(s): Michael P. Shaw
Respondent(s): Cambridge Investment Research.L Financial LLC
Respondent Lawyers(s): Richard H. Kuhlman, Sara B. Davis
Arbitrator(s): C Gregory Ellison, David L. Ruderman
Hearing Site: Baltimore, MD
20-0299607/06/2021Claimant(s): Daniel Steichen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Tracy L. Allen
Hearing Site: Minneapolis, MN
20-0270006/14/2021Claimant(s): Wayne Wagner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Louis H Miron
Hearing Site: Wilmington, DE

37 Results

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