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FINRA Awards for Tracy L. Allen

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Displaying 61-70 out of 70 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0253211/27/2017Claimant(s): Kenneth Wise
Claimant Lawyers(s): David I. Hantman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
16-0367610/13/2017Claimant(s): James White
Claimant Lawyers(s): Daniel W. Rucker
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Tracy L. Allen, Jack L. Somers, Michael James Malone
Hearing Site: Detroit, MI
16-0150203/13/2017Claimant(s): Kevin O'Neill
Claimant Lawyers(s): Meagan A. Lamberti
Respondent(s): James Stewart, JC Stewart Enterprises
Respondent Lawyers(s): D. Daxton White
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
Expungement
15-0068212/07/2016Claimant(s): Stacy Foote
Claimant Lawyers(s): Devin W. Bone
Respondent(s): Edward Jones
Respondent Lawyers(s): Richard W. Warren
Arbitrator(s): Tracy L. Allen, Earlene R. Baggett-Hayes, Frank Todd Aiello
Hearing Site: Detroit, MI
16-0070209/26/2016Claimant(s): SII Investments.
Claimant Lawyers(s): Scott A. Chernich
Respondent(s): Jason Edwards
Respondent Lawyers(s): Jason Francis Edwards
Arbitrator(s): Tracy L. Allen
Hearing Site: Indianapolis, IN
14-0035212/29/2015Claimant(s): Intervest International Equities Corpora
Claimant Lawyers(s): Thomas E. Hayes
Respondent(s): Anthony Manaia
Respondent Lawyers(s): Mark L. Kowalsky
Arbitrator(s): Joseph R. Papo, Tracy L. Allen, Martin I. Reisig
Hearing Site: Detroit, MI
14-0054512/02/2014Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Suchitra Busch, Executive Wealth Management
Respondent Lawyers(s): David H. Jarvis, Tara E. Mahoney
Arbitrator(s): Peter S. Viviano, Tracy L. Allen, Charlene Johnson
Hearing Site: Detroit, MI
13-0300410/31/2014Claimant(s): Daniel Murphy
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Gary Levitt
Respondent Lawyers(s): Gary E. Levitt
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
Expungement
13-0123511/12/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Steven Satter
Respondent(s): Mark Kelly
Respondent Lawyers(s): Jeffrey D. Plopa
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
07-0315508/25/2008Claimant(s): Martin Cooper
Claimant Lawyers(s): C. William Bair
Respondent(s): Securities Services Network.
Respondent Lawyers(s): Robert N. Rapp
Arbitrator(s): Tracy L. Allen, Conrad W. Koski, Richard E. Zuckerman
Hearing Site: Detroit, MI

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