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FINRA Awards

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Displaying 1,881-1,890 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0159503/08/2022Claimant(s): Raymond Guarini
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): Windsor Street Capital, L.P.
Respondent Lawyers(s): John W. Stalanski
Arbitrator(s): Steven C. Kasarda
Hearing Site: New York, NY
21-0163603/08/2022Claimant(s): James Dy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
21-0298203/04/2022Claimant(s): Carlos Vargas
Claimant Lawyers(s): Thomas McHugh
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): Gerald Silverman
Hearing Site: Boca Raton, FL
18-0419803/03/2022Claimant(s): Jefferies
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Patrick Cunningham
Respondent Lawyers(s): Patrick F. Moran
Arbitrator(s): Jonathan B. Gilbert, Jonah J. Orlofsky, John William Kenesey
Hearing Site: Chicago, IL
20-0336603/03/2022Claimant(s): Jayne Di Vincenzo
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Devin Garofalo
Respondent Lawyers(s): W.R. Baldwin
Arbitrator(s): Janice L. Burnham, JoAnne Lewis Nolte, Michael Andrew Glasser
Hearing Site: Norfolk, VA
20-0366803/03/2022Claimant(s): Eric Wenzel
Claimant Lawyers(s): Howard Schragin
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Nirav S. Shah
Arbitrator(s): Howard J. Stiefel, Elliot Schnapp, James G Paulsen
Hearing Site: New York, NY
21-0047003/03/2022Claimant(s): Ezequiel Navar
Claimant Lawyers(s): Michelle Atlas-Quinn
Respondent(s): GCA Advisors
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): David I. Levine
Hearing Site: San Francisco, CA
21-0204603/03/2022Claimant(s): Gurveer Mann
Claimant Lawyers(s): Zachary Morse
Respondent(s): Foresters Financial Services.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
20-0321503/02/2022Claimant(s): Todd Cirella
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): Laidlaw & Company (UK) Ltd., Sands Brothers & Co., Ltd.
Respondent Lawyers(s): Charles Smulevitz, Gail Fanelli
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
21-0127503/02/2022Claimant(s): Theodore Fischer
Claimant Lawyers(s): Brian Luther
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Christopher F. Robertson
Arbitrator(s): Stephen Howard Marcus, Tim James O'Keefe, Michael Shimokaji
Hearing Site: Los Angeles, CA

11,393 Results

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