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FINRA Awards for Tracy L. Allen

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Displaying 11-20 out of 72 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0071312/18/2023Claimant(s): Albert Kohout
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Tracy L. Allen
Hearing Site: Indianapolis, IN
23-0036511/09/2023Claimant(s): Patrick Murphy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Roxanna V. Gonzalez
Arbitrator(s): Tracy L. Allen
Hearing Site: Minneapolis, MN
22-0260611/08/2023Claimant(s): Travis Hansberger
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Shannon M. Wheaton
Arbitrator(s): Tracy L. Allen
Hearing Site: Minneapolis, MN
22-0286109/25/2023Claimant(s): Karen Hoy
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Tracy L. Allen
Hearing Site: Cleveland, OH
22-0049206/26/2023Claimant(s): Annmarie Ryan
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
Expungement
22-0159906/09/2023Claimant(s): Jamie Grupe
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Tracy L. Allen
Hearing Site: Minneapolis, MN
22-0172703/22/2023Claimant(s): Matthew Pullar
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): PNC Investments
Respondent Lawyers(s): Robert Whitman
Arbitrator(s): Tracy L. Allen
Hearing Site: Cleveland, OH
22-0106912/09/2022Claimant(s): Karl Schwartz
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
21-0291308/22/2022Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Theodore R Bynum
Respondent(s): Paul Vizanko
Respondent Lawyers(s): Paul Warren Vizanko
Arbitrator(s): Tracy L. Allen
Hearing Site: Minneapolis, MN
21-0311608/19/2022Claimant(s): Brian Nikulski
Claimant Lawyers(s): Michael Bessette
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Tracy L. Allen
Hearing Site: Des Moines, IA

72 Results

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