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FINRA Awards

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Displaying 1,981-1,990 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0015101/25/2022Claimant(s): Joseph Gunnar & Co. LLC
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Brandon Pflaum, Cesar Pozo, Worden Capital Management LLC, Joseph Alagna, Matthew Gates, Miguel Cabarcas
Respondent Lawyers(s): John E. Lawlor, Richard Roth
Arbitrator(s): Ilene Barbara Zatkin-Butler, Paul C. Kurland, Jeanne M. Keefe
Hearing Site: New York, NY
21-0151801/25/2022Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Jennifer Sackett, Timothy Sackett
Respondent Lawyers(s): Jennifer Sackett, Timothy W. Sackett
Arbitrator(s): Daniel H. Yaffe, Louis David Huss, Steven Moore
Hearing Site: Boca Raton, FL
17-0237801/21/2022Claimant(s): Stephens
Claimant Lawyers(s): Daniel Wirth
Respondent(s): Benjamin Edwards, Brian Erwin, Jeffrey Green, Malcolm Peeler, Timothy Fitzgerald, Benjamin F. Edwards & Company.
Respondent Lawyers(s): Eric D. Martin
Arbitrator(s): Gena Jacobs Wolbrecht, Jeff Mueller, Linda Nettles Harris
Hearing Site: Memphis, TN
19-0156001/21/2022Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): G. Thomas Fleming
Respondent(s): James Shelburne
Respondent Lawyers(s): James Christopher Shelburne
Arbitrator(s): Barton J. Brewer, Kendall C. Reed, Aurelio A. Garcia
Hearing Site: Los Angeles, CA
21-0138201/21/2022Claimant(s): James McCoy, Joshua McCoy
Claimant Lawyers(s): Zachary Morse
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
21-0184001/21/2022Claimant(s): Emilie Altman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): McClellon D. Cox
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
21-0227401/21/2022Claimant(s): C. Weissing
Claimant Lawyers(s): Lloyd R. Schwed
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
20-0249701/19/2022Claimant(s): Christopher Cowans
Claimant Lawyers(s): Seth I. Rubinson
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Boston, MA
21-0105501/19/2022Claimant(s): Adam Roberts
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Kevin W. Brooks
Arbitrator(s): Alice E. Winkler
Hearing Site: Albany, NY
20-0183101/18/2022Claimant(s): Nancy Mellon
Claimant Lawyers(s): Nancy Kimball Mellon
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services
Respondent Lawyers(s): Neil M. Katsuyama
Arbitrator(s): Gary L. Hodge, Karl A. Vogeler, Richard Kennard Hurley
Hearing Site: Tampa, FL

11,393 Results

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