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FINRA Awards for Philadelphia, PA

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Displaying 91-100 out of 313 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0339302/02/2021Claimant(s): Equitable Advisors, Equitable Network
Claimant Lawyers(s): Raha Assadi
Respondent(s): Patrick Carberry
Respondent Lawyers(s): John F. O'Riordan
Arbitrator(s): John F. Burns
Hearing Site: Philadelphia, PA
20-0146601/29/2021Claimant(s): Kevin Janus
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
20-0208001/06/2021Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Scott Kaufman
Respondent Lawyers(s): Michael R. McFarlin
Arbitrator(s): John J. Jordan, Robert C. Scanlan, Mark H. Stein
Hearing Site: Philadelphia, PA
20-0010012/30/2020Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Megan Christensen
Respondent(s): Christopher Bryan
Respondent Lawyers(s): Christopher J. Bryan
Arbitrator(s): George Forest Bingham
Hearing Site: Philadelphia, PA
19-0287912/18/2020Claimant(s): Tracy Ellis
Claimant Lawyers(s): Samuel Wilson
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Heather Z. Steele
Arbitrator(s): Mary L. Sims, Mark H. Stein, Rachael Luken Carp
Hearing Site: Philadelphia, PA
20-0092912/10/2020Claimant(s): Richard Towey
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): PFS Investments Inc.
Respondent Lawyers(s): Adam M. Weaver
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
20-0124312/10/2020Claimant(s): Scott Kleiman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsy L. Vasko
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
20-0320112/08/2020Claimant(s): Bradford Bernstein
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Julie K. Chapin
Hearing Site: Philadelphia, PA
20-0180412/01/2020Claimant(s): Brian Walsh
Claimant Lawyers(s): Zachary T. Hayes-Macaluso
Respondent(s): Ameritas Investment Company
Respondent Lawyers(s): Andrea D. Snowden
Arbitrator(s): John F. Burns
Hearing Site: Philadelphia, PA
20-0124211/17/2020Claimant(s): Christopher Tuck
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA

313 Results

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