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FINRA Awards

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Displaying 11,301-11,310 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
06-0397009/13/2007Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin A. Rowin
Respondent(s): Renee Isely
Respondent Lawyers(s): Mark P. Carey
Arbitrator(s):
Hearing Site: New York, NY
01-0563809/12/2007Claimant(s):
Claimant Lawyers(s):
Respondent(s): Anthony Ottimo, Jack Najarian, Michael Ward, Thomas Giugliano, William Odenthal
Respondent Lawyers(s): Catania Facher, Michael Ward, Robert M. Bursky
Arbitrator(s):
Hearing Site: New York, NY
01-0586909/12/2007Claimant(s): Anthony Ottimo, Thomas Giugliano
Claimant Lawyers(s): Robert M. Bursky
Respondent(s): Jack Najarian, Michael Ward, William Odenthal
Respondent Lawyers(s): Jack G. Najarian, Michael Ward, William J. Odenthal
Arbitrator(s): William J. Crowe, Madelon M. Rosenfeld, Eugene M. Schloss
Hearing Site: New York, NY
06-0341409/11/2007Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Danny Kiick
Respondent Lawyers(s): Danny Lee Kiick
Arbitrator(s): William C. Mallery
Hearing Site: San Francisco, CA
07-0006109/11/2007Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Natalie C. Edie
Respondent(s): Eric Betancourt
Respondent Lawyers(s): Eric Matthew Betancourt
Arbitrator(s): Michael E. Olney
Hearing Site: New York, NY
06-0296009/10/2007Claimant(s):
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06-0437509/10/2007Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Davis Estes
Respondent Lawyers(s): Davis Allen Estes
Arbitrator(s): Clarence Jordan Ball, C. Gregory Ellison, Christian Peter Cimmino
Hearing Site: Richmond, VA
07-0033309/10/2007Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Jerad Rissler
Respondent(s): Jason Blum
Respondent Lawyers(s): Jason H. Blum
Arbitrator(s): Lanny M. Leff, John Uustal, Raymond W. Snow
Hearing Site: Boca Raton, FL
06-0277509/07/2007Claimant(s):
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07-0017509/07/2007Claimant(s): Edgar Barron
Claimant Lawyers(s): K. Michael Swann
Respondent(s): Colonial Brokerage.
Respondent Lawyers(s): Stanley E. Graham
Arbitrator(s): Robert L. Hudson, Michael D. Walsh, Joseph John Mantione
Hearing Site: Orlando, FL

11,393 Results

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