FINRA Awards for Sara B. Davis

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Displaying 31-37 out of 37 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
19-03711	08/17/2020	Claimant(s): Carolyn DiPrinzio Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Sara B. Davis Arbitrator(s): JoAnne Lewis Nolte Hearing Site: Richmond, VA
19-03379	06/16/2020	Claimant(s): Kevin Sanderford Claimant Lawyers(s): Michael Bessette Respondent(s): LPL Financial LLC, Cetera Advisors LLC Respondent Lawyers(s): David Feldstein, Sara B. Davis Arbitrator(s): Frances Johnson Wright Hearing Site: Denver, CO
20-00090	06/08/2020	Claimant(s): Christopher Mise Claimant Lawyers(s): Brian Luther Respondent(s): LPL Financial LLC Respondent Lawyers(s): Sara B. Davis Arbitrator(s): Maurice M. Feller Hearing Site: Columbia, SC
19-02830	04/06/2020	Claimant(s): Careena Patel Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Sara B. Davis Arbitrator(s): Robert E. Anderson Hearing Site: Hartford, CT
19-02740	03/17/2020	Claimant(s): Don Rudolph Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC, UVEST Financial Services Group. Respondent Lawyers(s): Corporate Officer, Sara B. Davis Arbitrator(s): Harvey R. Linder Hearing Site: Raleigh, NC
10-00178	09/23/2011	Claimant(s): John Phillips Claimant Lawyers(s): Daniel Woska Respondent(s): Daniel Witham, Uvest Financial Services Group. Respondent Lawyers(s): Sara B. Davis Arbitrator(s): Carroll O. Johnson, Bill H. Brister, John Burke Garrett Hearing Site: Oklahoma City, OK
08-04609	03/23/2010	Claimant(s): Jan Carr Claimant Lawyers(s): Anthony B. Haller Respondent(s): Uvest Financial Services Group. Respondent Lawyers(s): Sara B. Davis Arbitrator(s): Elliot B. Platt, John L. Braxton, Howard B. Scherer Hearing Site: Philadelphia, PA