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FINRA Awards

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Displaying 10,591-10,600 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
08-0252604/08/2009Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John McGuire
Respondent(s): Joanna Roland
Respondent Lawyers(s): Joanna Roland
Arbitrator(s): Joseph D. Cosgrove
Hearing Site: New York, NY
08-0142404/07/2009Claimant(s): First Midwest Securities.
Claimant Lawyers(s): Renee Emrick
Respondent(s): Patricia Robinson
Respondent Lawyers(s): Patrick Corcoran
Arbitrator(s): Thanayi J. Lindsey
Hearing Site: Las Vegas, NV
06-0464904/06/2009Claimant(s): Diane Brewer
Claimant Lawyers(s): Jules Leo Federman
Respondent(s): Keith Waibel, Timothy Tremblay
Respondent Lawyers(s): Jerry J. Howard, Robyn C. Crowther
Arbitrator(s): Karen A. Lockwood, Joseph C. Watson, Thomas R. Watkins
Hearing Site: Los Angeles, CA
07-0233804/06/2009Claimant(s): Carl Busch
Claimant Lawyers(s): Joan A. Renegar
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Brian J. Hurst
Arbitrator(s): Michael R. Prescott, Kelley L. Cornelius, Carroll O. Johnson
Hearing Site: Oklahoma City, OK
07-0236504/06/2009Claimant(s): Southwest Securities.
Claimant Lawyers(s): Brian J. Hurst
Respondent(s): Carl Busch
Respondent Lawyers(s): Carl W. Busch
Arbitrator(s):
Hearing Site: Oklahoma City, OK
08-0032504/06/2009Claimant(s): Hyung Kim
Claimant Lawyers(s): David Marek
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Martin Hunger, Brian S. Hamburger, Lawrence B. Schiffman
Hearing Site: New York, NY
08-0114704/03/2009Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Aimee B. Florin
Respondent(s): Jason Bajaj
Respondent Lawyers(s): Jason V. Bajaj
Arbitrator(s): Harold I. Geringer
Hearing Site: New York, NY
08-0357204/01/2009Claimant(s): Gary Kornbluh
Claimant Lawyers(s): Gary Kornbluh
Respondent(s): M & T Securities.
Respondent Lawyers(s): Maureen W. Sullivan
Arbitrator(s): John J. Duval
Hearing Site: Rochester, NY
07-0269903/31/2009Claimant(s): Richard Blanco
Claimant Lawyers(s): Otto K. Hilbert
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): William F. Skewes, Thomas Marston Haskins, Gregory P. Lembree
Hearing Site: Denver, CO
08-0254203/31/2009Claimant(s): James Davenport
Claimant Lawyers(s): Danny J. Basil
Respondent(s): Frank Black
Respondent Lawyers(s): Frank Black
Arbitrator(s): G. Brooks Euler
Hearing Site: Louisville, KY

11,393 Results

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