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FINRA Awards for Concorde Investment Services

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Displaying 5 out of 5 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0151103/08/2024Claimant(s): Concorde Investment Services
Claimant Lawyers(s): James S. Rollins
Respondent(s): Lori Kamen, Aurora Securities
Respondent Lawyers(s): Paul Machesky
Arbitrator(s): Jeffry M. Bauer, Ann Wilhelmina Kuppe, Suzanne L. Ulicny
Hearing Site: Detroit, MI
23-0000909/13/2023Claimant(s): Brent Lee, Jennifer Donais
Claimant Lawyers(s): Brandon S. Reif
Respondent(s): Concorde Investment Services
Respondent Lawyers(s): Corporate Office
Arbitrator(s): Helen Marinak Blohm, Ramona V. Larson, Kathy A. Tatone
Hearing Site: Bismarck, ND
21-0287010/31/2022Claimant(s): Douglas Osborn
Claimant Lawyers(s): Philip J. Weipert
Respondent(s): Concorde Investment Services
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
21-0240807/07/2022Claimant(s): Jim Lund
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Concorde Investment Services
Respondent Lawyers(s): Bryan Ward
Arbitrator(s): Sandra L. Malek
Hearing Site: Los Angeles, CA
14-0024903/04/2016Claimant(s): McDermott Investment Services
Claimant Lawyers(s): Barry S. Gold
Respondent(s): Marilee Hill, Concorde Investment Services, The Estate of Chester Ju, The Estate of Shirley Jean Ju
Respondent Lawyers(s): Derek Domian, Gerry J. Kowalski, H. Thomas Fehn, Richard J. Rosensweig
Arbitrator(s): Anne Q. Uno, Jane A. Smith, Oliver P. Roche
Hearing Site: Washington, DC

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