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FINRA Awards for Seattle, WA

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Displaying 21-30 out of 148 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0112004/04/2022Claimant(s): Brian Decker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, Pacific West Securities.
Respondent Lawyers(s): Corporate Officer, Jennifer E. Novoselsky
Arbitrator(s): Stephany Adriene Watson, Joan M. Schroeder, Charles Scott McClellan
Hearing Site: Seattle, WA
20-0400003/28/2022Claimant(s): Kevin Stokesbary
Claimant Lawyers(s): Shannon McDougald
Respondent(s): MML Investors Services
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): William J. Bender, Steven Phillip Caplow, Jane Ann McKenzie
Hearing Site: Seattle, WA
21-0130802/10/2022Claimant(s): Shannon Freeland
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Equitable Advisors, J.P. Morgan Securities
Respondent Lawyers(s): Michael J. Biondi, Neal S. Robb
Arbitrator(s): David William Hickman
Hearing Site: Seattle, WA
21-0028111/23/2021Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Amy O. Roberts
Respondent(s): Susan Lawrence
Respondent Lawyers(s): H. Troy Romero
Arbitrator(s): Jeanne C Stilwell, David William Hickman, Charles Scott McClellan
Hearing Site: Seattle, WA
20-0343111/05/2021Claimant(s): Huey Luu
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Francis Vincent Dane
Hearing Site: Seattle, WA
21-0043910/20/2021Claimant(s): Douglas Donnelly
Claimant Lawyers(s): Michael Bessette
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Stephany Adriene Watson
Hearing Site: Seattle, WA
20-0388309/23/2021Claimant(s): Daniel Baumgartel
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Seattle, WA
20-0133209/17/2021Claimant(s): Chun Zhu
Claimant Lawyers(s): Chun Mei (Ida) Zhu
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Jeffrey D. Hanslick
Arbitrator(s): Katherine Hendricks, William J. Bender, Craig Charles Beles
Hearing Site: Seattle, WA
20-0310109/10/2021Claimant(s): Phil Scott
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Jane Ann McKenzie
Hearing Site: Seattle, WA
20-0272809/08/2021Claimant(s): Robin Naylor
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pacific West Securities.
Respondent Lawyers(s): Philip A Pizelo
Arbitrator(s): Craig Charles Beles
Hearing Site: Seattle, WA

148 Results

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