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FINRA Awards for Norfolk, VA

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Displaying 11-20 out of 22 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0202204/05/2021Claimant(s): Darin Ely
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): BI Investments, Infinex Investments.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Norfolk, VA
18-0225602/14/2020Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Eric Wolf
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): Marian Smith Glenn, Michael W. Hultzapple, Jane Tam
Hearing Site: Norfolk, VA
19-0071010/17/2019Claimant(s): Michael Brooks
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Igor V. Stadnik
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Norfolk, VA
15-0334402/22/2017Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Caryn D. Shaw
Respondent(s): Justin Hendrick
Respondent Lawyers(s): Justin Hendrick
Arbitrator(s): Richard E. Lauziere, Gregory Hunter Mathews, Linda Arlene Michler
Hearing Site: Norfolk, VA
15-0077701/23/2017Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Jeffrey Smith
Respondent Lawyers(s): Jeffrey H. Smith
Arbitrator(s): Richard E. Lauziere, Glenn H. Catalano, David Paul Clark
Hearing Site: Norfolk, VA
14-0178110/09/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex M. Komoroski
Respondent(s): Jeffrey Whitaker
Respondent Lawyers(s): Jeffrey Lee Whitaker
Arbitrator(s): Peter B. Vaden
Hearing Site: Norfolk, VA
12-0163711/19/2012Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Sean Pepe
Respondent Lawyers(s): Sean Phillip Pepe
Arbitrator(s): Stuart H. Dunn
Hearing Site: Norfolk, VA
11-0072005/14/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Mark Magnone
Respondent Lawyers(s): William A. Healy
Arbitrator(s): Peter B. Vaden, Laurence M. Scoville, William James Russell
Hearing Site: Norfolk, VA
10-0165206/20/2011Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Patrick J. Howley
Respondent(s): James Godsey
Respondent Lawyers(s): Gary C. Byler
Arbitrator(s): C. Gregory Ellison, Michael E. Scullin, Donita M. King
Hearing Site: Norfolk, VA
09-0512302/11/2010Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Jeffrey Whitaker
Respondent Lawyers(s): Jeffrey Lee Whitaker
Arbitrator(s): Thomas B. Corey
Hearing Site: Norfolk, VA

22 Results

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