FINRA Awards for National Planning Corporation

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 10 out of 33 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
23-02966	10/01/2024	Claimant(s): Steven Perrmann Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Madison Avenue Securities, National Planning Corporation Respondent Lawyers(s): Eric A. Michaels, Ryan P. Friel Arbitrator(s): Tracy L. Allen Hearing Site: St. Louis, MO
23-02749	09/17/2024	Claimant(s): James Simmons Claimant Lawyers(s): Harris Freedman Respondent(s): FSC Securities Corporation, Brookstreet Securities Corporation, National Planning Corporation Respondent Lawyers(s): Eric A. Michaels, Jennifer R. Cox, Julie Mains Arbitrator(s): Michael Harrison Hearing Site: Los Angeles, CA
21-02558	05/11/2022	Claimant(s): Brian Parker Claimant Lawyers(s): Dochtor Kennedy Respondent(s): MML Investors Services, National Planning Corporation Respondent Lawyers(s): Eric A. Michaels, Julie E. Ravis Arbitrator(s): Jeff Kilgore Hearing Site: New Orleans, LA
20-03130	08/19/2021	Claimant(s): Jane Marie Sullivan Claimant Lawyers(s): Zachary Morse Respondent(s): National Planning Corporation Respondent Lawyers(s): Eric A. Michaels Arbitrator(s): Robert E. Jenks Hearing Site: Los Angeles, CA
20-03692	08/02/2021	Claimant(s): Chi-Hong Chu Claimant Lawyers(s): Dochtor Kennedy Respondent(s): National Planning Corporation Respondent Lawyers(s): Eric A. Michaels Arbitrator(s): Robert E. Anderson Hearing Site: Jersey City, NJ
20-02926	05/06/2021	Claimant(s): Joseph Quartucci Claimant Lawyers(s): Dochtor Kennedy Respondent(s): National Planning Corporation Respondent Lawyers(s): Eric A. Michaels Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX
20-02587	04/29/2021	Claimant(s): William Kumm Claimant Lawyers(s): Frances Menzer Respondent(s): National Planning Corporation Respondent Lawyers(s): Eric A. Michaels Arbitrator(s): Lee Hornberger Hearing Site: Detroit, MI
20-02818	04/09/2021	Claimant(s): John Moriarty Claimant Lawyers(s): Dochtor Kennedy Respondent(s): National Planning Corporation Respondent Lawyers(s): Eric A. Michaels Arbitrator(s): Tracy L. Allen Hearing Site: St. Louis, MO
20-03672	04/06/2021	Claimant(s): Hans Hoehn Claimant Lawyers(s): Nathan Lamb Respondent(s): National Planning Corporation Respondent Lawyers(s): Eric A. Michaels Arbitrator(s): Gregory Douglas Stone Hearing Site: Los Angeles, CA
20-00197	09/24/2020	Claimant(s): Dale Cebert Claimant Lawyers(s): Harris Freedman Respondent(s): National Planning Corporation Respondent Lawyers(s): Eric A. Michaels Arbitrator(s): John P. Cullem Hearing Site: Orlando, FL