FINRA Awards for Wilmington, DE

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Displaying 31-40 out of 56 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
19-01840	02/26/2020	Claimant(s): Morgan Stanley Claimant Lawyers(s): Todd Ratner Respondent(s): Tracy Kirby Respondent Lawyers(s): Tracy Ann Kirby Arbitrator(s): David Paul Clark Hearing Site: Wilmington, DE
19-01130	11/05/2019	Claimant(s): Kyle Skinner Claimant Lawyers(s): William W. Uchimoto Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Thomas G. Nicholson Arbitrator(s): Tina E. Patterson Hearing Site: Wilmington, DE
18-04358	09/11/2019	Claimant(s): Wayne Wagner Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Louis H Miron Hearing Site: Wilmington, DE
19-00211	07/10/2019	Claimant(s): Ronald Bare Claimant Lawyers(s): Elaine Rice Respondent(s): Securities America. Respondent Lawyers(s): Tyler Schubauer Arbitrator(s): Louis H. Miron, John Michael Derderian, Ellen F. Kandell Hearing Site: Wilmington, DE
18-03361	03/26/2019	Claimant(s): Anthony Gambone Claimant Lawyers(s): Anthony Michael Gambone Respondent(s): Pruco Securities. Respondent Lawyers(s): Alan S. Brodherson Arbitrator(s): John James McGovern Hearing Site: Wilmington, DE
18-02025	03/14/2019	Claimant(s): James Gibson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Jim Geiger Hearing Site: Wilmington, DE
18-00939	01/16/2019	Claimant(s): Janet Redman Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Diane Ciccone Hearing Site: Wilmington, DE
18-00658	12/12/2018	Claimant(s): William Walters Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplan Arbitrator(s): Diane Ciccone Hearing Site: Wilmington, DE
18-00107	09/10/2018	Claimant(s): James Lee Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Steven T. Stern Hearing Site: Wilmington, DE
17-02953	06/06/2018	Claimant(s): Michael Butterworth Claimant Lawyers(s): Edwin L. Stock Respondent(s): Equity Services., Hornor, Townsend & Kent., MML Investors Services Respondent Lawyers(s): Derek C. Anderson, George D. Fagan, Julie E. Ravis Arbitrator(s): Louis H. Miron, Edward Blumstein, Glenn J. Hansen Hearing Site: Wilmington, DE