Potomac Analytics' Logo

FINRA Awards

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

Filter by:

Sort by:

Displaying 1,091-1,100 out of 11,487 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0024707/21/2023Claimant(s): Beliveau Bays
Claimant Lawyers(s): Beliveau Bays
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Lawrence R. Maxwell
Hearing Site: Dallas, TX
22-0242007/20/2023Claimant(s): Orlando Perez, Viviana Perez Cordero
Claimant Lawyers(s): Roberto C Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
23-0012607/20/2023Claimant(s): Michael Berger
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): John L. Krauss
Hearing Site: Indianapolis, IN
22-0298107/20/2023Claimant(s): Donald Barry
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jason Kempf
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Wichita, KS
23-0024807/19/2023Claimant(s): Karlamary Aleman Aponte
Claimant Lawyers(s): Gara Seagraves
Respondent(s): Popular Securities.
Respondent Lawyers(s): Mariela M. Ramirez-Morales
Arbitrator(s): Barth Satuloff
Hearing Site: San Juan, PR
22-0257807/19/2023Claimant(s): Ernest Musgrave
Claimant Lawyers(s): Roberto C Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
19-0240607/18/2023Claimant(s): Mark Dickman
Claimant Lawyers(s): Jeremy L. Bartell
Respondent(s): Jessica Sexton, Robert Russo
Respondent Lawyers(s): Jonathan S. Robbins
Arbitrator(s): Lisa Bass Morris, Rebecca Sofley Henderson, Eric C Chilton
Hearing Site: Charlotte, NC
23-0018007/18/2023Claimant(s): Joshua Betancourt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sierra Gray
Arbitrator(s): Lisa M. Krimen
Hearing Site: Chicago, IL
22-0248907/18/2023Claimant(s): Dario Suarez
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey Medina Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
22-0229507/18/2023Claimant(s): Cynthia Farnsworth
Claimant Lawyers(s): Linda D. Friedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Sal Presti
Hearing Site: Milwaukee, WI

11,487 Results

Display: