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FINRA Awards for Samuel P. Mauch

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Displaying 10 out of 47 results
Case Number Award Date Case Summary Customer Case? Amount Granted
24-0025204/24/2024Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): James Czerniak
Respondent Lawyers(s): James Allen Czerniak
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
23-0199811/09/2023Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Marlon Scott
Respondent Lawyers(s): Marlon Keith Scott
Arbitrator(s): Heather Gaile Layton
Hearing Site: Houston, TX
23-0199910/18/2023Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Joseph Hobbs
Respondent Lawyers(s): Joseph Gregory Hobbs
Arbitrator(s): Andrea U. Calve
Hearing Site: Oklahoma City, OK
23-0158109/19/2023Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Todd Barden
Respondent Lawyers(s): Todd J Barden
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Milwaukee, WI
20-0233901/17/2023Claimant(s): Morgan Stanley, MSSB Financing LLC
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Damian Baird
Respondent Lawyers(s): Damian Mark Baird
Arbitrator(s): Alan Kenneth Scheff, Mark A. Sipper, Joseph Maron Hanna
Hearing Site: Buffalo, NY
22-0132309/26/2022Claimant(s): Lincoln Financial Advisors Corporation
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): John Nelson
Respondent Lawyers(s): John W. Nelson
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Cleveland, OH
18-0415511/10/2021Claimant(s): Jason Klein
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Olga Hejl
Respondent Lawyers(s): Salvatore W. Pirrotta
Arbitrator(s): Edward M. Olson, Raymond J. Sterling, Ethan Ray
Hearing Site: Detroit, MI
20-0355806/10/2021Claimant(s): Lincoln Financial Securities Corporation
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Jason Fekete
Respondent Lawyers(s): Jason M. Fekete
Arbitrator(s): C Gregory Ellison, Gregory Hunter Mathews, Geoffrey A. Drucker
Hearing Site: Norfolk, VA
19-0017301/02/2020Claimant(s): Kathy Colby
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Dominion Investor Services.
Respondent Lawyers(s): Samuel P. Mauch
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
18-0250811/26/2019Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): William Despard
Respondent Lawyers(s): William Roy Despard
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO

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