Potomac Analytics' Logo

FINRA Awards for Denver, CO

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

Filter by:

Sort by:

Displaying 161-170 out of 194 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0080208/02/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): John Birrenkott
Respondent Lawyers(s): John M. Birrenkott
Arbitrator(s): James J. Moylan, Marc H. Schtul, James J. Ashe
Hearing Site: Denver, CO
11-0010907/12/2011Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Kate S. Arduini
Respondent(s): Kristi Lenderman
Respondent Lawyers(s): Kristi Ann Lenderman
Arbitrator(s): R. Phillip Reed
Hearing Site: Denver, CO
10-0317807/07/2011Claimant(s): Michael Popick
Claimant Lawyers(s): Russell K. Bean
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alyssa K. Yatsko
Arbitrator(s): Steven Meyrich
Hearing Site: Denver, CO
10-0489105/20/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Charles Greco
Respondent Lawyers(s): Charles Vincent Greco
Arbitrator(s): Federico C. Alvarez
Hearing Site: Denver, CO
09-0543805/05/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): James Gracia, Lorrie Mayes
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s): Marilyn R. Lewis, Timothy E. Taggart, Leonard M. Goldstein
Hearing Site: Denver, CO
10-0501205/02/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Teddy Ezzell
Respondent Lawyers(s): Teddy R Ezzell
Arbitrator(s): Dennis R. Frohlich
Hearing Site: Denver, CO
10-0422203/24/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn Lamar
Respondent(s): Robert Mullen
Respondent Lawyers(s): Robert Bryan Mullen
Arbitrator(s): Thaddeus J. Tecza
Hearing Site: Denver, CO
10-0421403/15/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn Lamar
Respondent(s): William Holleran
Respondent Lawyers(s): William James Holleran
Arbitrator(s): Marc H. Schtul
Hearing Site: Denver, CO
09-0519611/19/2010Claimant(s): Morgan Stanley
Claimant Lawyers(s): John Lutz
Respondent(s): George Garro, Jon Metzger, SMH Capital Inc.
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Larry D. Hayden, Luis D. Rovira, David L. Erickson
Hearing Site: Denver, CO
09-0380211/15/2010Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Rockwell Pearson
Respondent Lawyers(s): Rockwell Stuart Pearson
Arbitrator(s): Leon C. Tupy
Hearing Site: Denver, CO

194 Results

Display: