FINRA Awards for Wilmington, DE

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

Displaying 41-50 out of 56 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
17-02763	03/27/2018	Claimant(s): John Macielag Claimant Lawyers(s): Michael Bessette Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Robert E. Anderson Hearing Site: Wilmington, DE
17-01120	12/22/2017	Claimant(s): Cambridge Investment Research. Claimant Lawyers(s): Carrie L. Lathrop Respondent(s): Thomas Ambrose Respondent Lawyers(s): Thomas Kevin Ambrose Arbitrator(s): Morton S. Bunis Hearing Site: Wilmington, DE
17-00397	11/27/2017	Claimant(s): Kent Habecker Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Robert E. Anderson Hearing Site: Wilmington, DE
17-00934	11/17/2017	Claimant(s): Joseph Mahoney Claimant Lawyers(s): Christopher C. Coss Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Demian Betz Arbitrator(s): Robert E. Anderson Hearing Site: Wilmington, DE
17-01405	10/26/2017	Claimant(s): Gregg Somerville Claimant Lawyers(s): Dana Gloor Respondent(s): Coastal Equities. Respondent Lawyers(s): Franklin Skinner Arbitrator(s): Morton S. Bunis Hearing Site: Wilmington, DE
17-00172	09/05/2017	Claimant(s): Thomas Lindia Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Cetera Investment Services LLC Respondent Lawyers(s): Jeremy Carr Arbitrator(s): Robert E. Anderson Hearing Site: Wilmington, DE
17-00560	08/17/2017	Claimant(s): Chad Devore Claimant Lawyers(s): Chad A. Devore Respondent(s): Beaconsfield Financial Services. Respondent Lawyers(s): Richard King Rainier II Arbitrator(s): Steven T. Stern Hearing Site: Wilmington, DE
16-03418	03/10/2017	Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Michael S. Taaffe Respondent(s): Jeffrey Ickes Respondent Lawyers(s): Jeffrey Scott Ickes Arbitrator(s): Jim Geiger Hearing Site: Wilmington, DE
13-03471	06/25/2014	Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Edward A. Walton Respondent(s): Thomas Ambrose Respondent Lawyers(s): Thomas Kevin Ambrose Arbitrator(s): David Paul Clark Hearing Site: Wilmington, DE
13-02195	12/09/2013	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Jonathan Berg Respondent(s): Nicholas Perugino Respondent Lawyers(s): Nicholas L. Perugino Arbitrator(s): John James McGovern Hearing Site: Wilmington, DE