FINRA Awards for Wilmington, DE

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

Displaying 10 out of 56 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
23-02948	05/29/2024	Claimant(s): Vincent Catalano Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Lincoln Financial Advisors Corporation Respondent Lawyers(s): Richard E. Ramirez Arbitrator(s): Louis P. Wagman Hearing Site: Wilmington, DE
23-01353	02/28/2024	Claimant(s): David Zane Claimant Lawyers(s): Dochtor Kennedy Respondent(s): PNC Investments Respondent Lawyers(s): Angelina T. Evans Arbitrator(s): Guillermo L. Bosch Hearing Site: Wilmington, DE
22-01662	12/13/2023	Claimant(s): Intellivest Securities. Claimant Lawyers(s): Bernard J. Kornberg Respondent(s): Brian Dunn Respondent Lawyers(s): Joshua Norton Arbitrator(s): Edward Turner Borer, Louis H Miron, Peter H. Goldberg Hearing Site: Wilmington, DE
22-02309	08/25/2023	Claimant(s): Harry Orth, Kimberlee Orth Claimant Lawyers(s): Jonathan M. Sterling Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Louis P. Wagman Hearing Site: Wilmington, DE
22-02404	06/14/2023	Claimant(s): Kimberlee Orth Claimant Lawyers(s): Jonathan M. Sterling Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Morton S. Bunis Hearing Site: Wilmington, DE
22-01863	04/04/2023	Claimant(s): Cheryl Blakey Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Santander Securities LLC Respondent Lawyers(s): N. Nancy Ghabai Arbitrator(s): Joseph J. Dougherty Hearing Site: Wilmington, DE
22-02455	03/10/2023	Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Sara Soto Respondent(s): Michael Boring Respondent Lawyers(s): Michael Miller Boring Arbitrator(s): Julian F. Santos Hearing Site: Wilmington, DE
20-03652	11/09/2022	Claimant(s): Intellivest Securities. Claimant Lawyers(s): Daniel H. Kolber Respondent(s): Gratitude Management LLC, The Builders Fund Respondent Lawyers(s): John J. Siciliano Arbitrator(s): David Paul Clark, Julie K. Chapin, Richard Pearce Moultrie Hearing Site: Wilmington, DE
21-03002	09/01/2022	Claimant(s): Wayne Wagner Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Eleonora Yonge Arbitrator(s): Linda J. Baer Hearing Site: Wilmington, DE
22-00100	07/22/2022	Claimant(s): Frederick Dawson Claimant Lawyers(s): Brian Luther Respondent(s): Raymond James Financial Services. Respondent Lawyers(s): Laura R. Rivera Arbitrator(s): William Stephen Mailander Hearing Site: Wilmington, DE