FINRA Awards for Wilmington, DE

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Displaying 51-56 out of 56 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
12-03830	07/26/2013	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Alex Komoroski Respondent(s): Rudi Buetterich Respondent Lawyers(s): Rudi Orlando Buetterich Arbitrator(s): Jacquelyn M. Shannon Hearing Site: Wilmington, DE
11-04756	04/23/2013	Claimant(s): Gerald Peragine Claimant Lawyers(s): Jim Moyles Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): Peter Byer Arbitrator(s): Joseph F. Pittelli, Caryl S. Bernstein, Jacquelyn M. Shannon Hearing Site: Wilmington, DE
12-01347	12/26/2012	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Megan Marmion Christensen Respondent(s): Richard Modell Respondent Lawyers(s): Richard David Modell Arbitrator(s): William J. Hirsch Hearing Site: Wilmington, DE
10-04231	03/14/2011	Claimant(s): Penson Financial Services. Claimant Lawyers(s): Michelle Young Respondent(s): James R. McGonigle & Kathleen C. McGonig Respondent Lawyers(s): James R. McGonigle Arbitrator(s): Alan J. Blocher, Caryl S. Bernstein, Edward T. Moody Hearing Site: Wilmington, DE		Stipulated Award
10-03928	01/24/2011	Claimant(s): LPL Financial LLC Claimant Lawyers(s): Jeffrey K. Compton Respondent(s): John Wirth Respondent Lawyers(s): John G. Wirth Arbitrator(s): E. William Pastor Hearing Site: Wilmington, DE
07-02307	01/18/2008	Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Tejal N. Shah Respondent(s): Latrice Berry Respondent Lawyers(s): Latrice Berry Arbitrator(s): Joseph F. Pittelli Hearing Site: Wilmington, DE