FINRA Awards for David R. Foley

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

Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
19-00399	07/11/2019	Claimant(s): Lawrence King Claimant Lawyers(s): Mark T Walsh Respondent(s): Purshe Kaplan Sterling Investments Respondent Lawyers(s): David M. Purcell Arbitrator(s): David R. Foley Hearing Site: Albany, NY
14-03552	11/05/2015	Claimant(s): Waddell & Reed Claimant Lawyers(s): Carol H. Li Respondent(s): Ralph Goodman Respondent Lawyers(s): Ralph Ustin Goodman Arbitrator(s): David R. Foley Hearing Site: Syracuse, NY
13-00441	06/05/2014	Claimant(s): Christopher Birli, Patrick Chapin Claimant Lawyers(s): Anthony Pecoraro, Brendan James Gilbert Respondent(s): Metlife Securities Inc., Metropolitan Life Insurance Company Respondent Lawyers(s): Rachel B. Cowen Arbitrator(s): David R. Foley, L. Paul Kehoe, Ramona Lee Lloyd Hearing Site: Buffalo, NY
08-03790	05/10/2011	Claimant(s): Charles Churchill Claimant Lawyers(s): Richard J. Braun Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Kenneth W. DiGia Arbitrator(s): Walter M. Schackman, Francis Carling, David R. Foley Hearing Site: New York, NY