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FINRA Awards for Kestra Investment Services

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Displaying 11-20 out of 30 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0273305/13/2021Claimant(s): Thomas Reich
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
20-0291705/05/2021Claimant(s): Kurt Jackson
Claimant Lawyers(s): Frances Menzer
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
20-0292404/12/2021Claimant(s): Lee Rawiszer, Paul Volpe
Claimant Lawyers(s): Richard A. D'Amura
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Shawn Shook
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
20-0294904/09/2021Claimant(s): Lee Rawiszer, Paul Volpe
Claimant Lawyers(s): Richard A. D'Amura
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Shawn Shook
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
20-0263603/23/2021Claimant(s): Howard Adcock
Claimant Lawyers(s): Harris Freedman
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Darryl C. Wilson
Hearing Site: Tampa, FL
20-0242812/16/2020Claimant(s): Kestra Financial., Kestra Investment Services
Claimant Lawyers(s): Richard A D'Amura
Respondent(s): Clyde Ford
Respondent Lawyers(s): Clyde Warren Ford
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
20-0136510/29/2020Claimant(s): Jeffrey Breault
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Richard A. D' Amura
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Wichita, KS
19-0259807/23/2020Claimant(s): Mitchell Walk
Claimant Lawyers(s): Harris Freedman
Respondent(s): Kestra Investment Services, Llc
Respondent Lawyers(s): Richard D'Amura
Arbitrator(s): Martin M. Van Luven
Hearing Site: Orlando, FL
19-0141212/19/2019Claimant(s): Jeffrey Cashman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): David J. Lehr
Arbitrator(s): David William Hickman
Hearing Site: Seattle, WA
19-0122512/04/2019Claimant(s): James Worrell
Claimant Lawyers(s): Erica Harris
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): David J. Lehr
Arbitrator(s): Robert E. Anderson
Hearing Site: Providence, RI

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