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FINRA Awards

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Displaying 1,961-1,970 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0190402/04/2022Claimant(s): Robert Funk
Claimant Lawyers(s): James P. Galvin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Abe I. Borenstein, Robert E. Anderson, Alexander B Rubin
Hearing Site: New York, NY
20-0185702/03/2022Claimant(s): Paul Coleman
Claimant Lawyers(s): Marie Mirch
Respondent(s): Chase Investment Services Corp., HSBC Securities (USA) Inc.
Respondent Lawyers(s): Ira G. Rosenstein, Michael a. Gross
Arbitrator(s): Robert M. Singer
Hearing Site: Hartford, CT
21-0124602/03/2022Claimant(s): Charlotte Lowe, Patrick Lowe
Claimant Lawyers(s): Robert Jay Moses
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
21-0135302/03/2022Claimant(s): Ivan Cen
Claimant Lawyers(s): Christina Z. Vourakis
Respondent(s): Cetera Investment Services LLC
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Laurel Littman Gothelf, Jeffrey Schubert, Brian Kimball
Hearing Site: San Francisco, CA
21-0170802/03/2022Claimant(s): Scott Turcott
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Mark P. Harbison
Arbitrator(s): John B. Kinsellagh, Benjamin F. Breslauer, Howard Gerber
Hearing Site: Phoenix, AZ
20-0168302/02/2022Claimant(s): Alexander Schwartz
Claimant Lawyers(s): Robert C. Ewing
Respondent(s): Allstate Financial Services
Respondent Lawyers(s): J. Scott Humphrey
Arbitrator(s): Thomas Benjamin Salzer, John T. Hausladen, Christin Kim
Hearing Site: Philadelphia, PA
21-0137002/02/2022Claimant(s): Nicholas Tsikitas
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
21-0245602/02/2022Claimant(s): Robert Clear
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Robert E. Anderson
Hearing Site: Jersey City, NJ
19-0251302/01/2022Claimant(s): Ryan Bernardini
Claimant Lawyers(s): Lisa C. Solbakken
Respondent(s): GFI Securities LLC
Respondent Lawyers(s): Nirav S. Shah
Arbitrator(s): Anthony Michael Sabino, Mark Cuccaro, Abigail R. Levy
Hearing Site: New York, NY
20-0367002/01/2022Claimant(s): Daniel Karlsberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ

11,393 Results

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