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FINRA Awards for Tracy L. Allen

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Displaying 41-50 out of 70 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0351203/19/2020Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Miles D. Hart
Respondent(s): Leonard Gilroy-Solano
Respondent Lawyers(s): Leonard Daniel Gilroy-Solano
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
19-0032112/09/2019Claimant(s): Scott Kanai
Claimant Lawyers(s): Matthew Wolper
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
19-0058412/05/2019Claimant(s): Douglas Magers
Claimant Lawyers(s): Harris Freedman
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Matthew R. Byrne
Arbitrator(s): Tracy L. Allen
Hearing Site: Cleveland, OH
18-0441610/29/2019Claimant(s): Mark Kosanke
Claimant Lawyers(s): Harris M. Freedman
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Jeffrey D. Hedlund
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
18-0441709/18/2019Claimant(s): Mark Kosanke
Claimant Lawyers(s): Harris Freedman
Respondent(s): Professional Asset Management.
Respondent Lawyers(s): Joan E. Flam
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
19-0008608/29/2019Claimant(s): Gordon Bryan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Patrick Christensen
Arbitrator(s): Tracy L. Allen
Hearing Site: Indianapolis, IN
18-0433407/18/2019Claimant(s): Adam Schwallier
Claimant Lawyers(s): Harris Freedman
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
18-0309805/23/2019Claimant(s): James McLellan
Claimant Lawyers(s): Frances Menzer
Respondent(s): NewBridge Securities Corp., Broad Street Securities., Leonard & Company
Respondent Lawyers(s): Dainforth French, Gregg J. Breitbart, Stuart G. Burchard
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
18-0151905/20/2019Claimant(s): Robert Brangle
Claimant Lawyers(s): Joan M. Swartz
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Anna M. Berman
Arbitrator(s): Leah Murray Albert, Tracy L. Allen, Julius Z. Frager
Hearing Site: St. Louis, MO
18-0048301/17/2019Claimant(s): Andrew Perri
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI

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