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FINRA Awards

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Displaying 2,001-2,010 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0167601/14/2022Claimant(s): Michael Milani
Claimant Lawyers(s): Richard S. Meisner
Respondent(s): Mondeum Capital
Respondent Lawyers(s): Preston Haxo
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
21-0110001/13/2022Claimant(s): Timothy Atyeo
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William M. Cassarini
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
21-0248101/13/2022Claimant(s): Charles Carson
Claimant Lawyers(s): William Preston Martin
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Bill Port
Arbitrator(s): David A. Schuler
Hearing Site: Birmingham, AL
21-0026801/12/2022Claimant(s): Robert Heller
Claimant Lawyers(s): Kevin Lampone
Respondent(s): William Pfeifer
Respondent Lawyers(s): Stephen J. Anthony
Arbitrator(s): Jay Lawrence Witkin, Steven M. Guttell, Richard Kent Mahrle
Hearing Site: Phoenix, AZ
20-0319601/11/2022Claimant(s): Jason Zahtila
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): American Capital Partners, Commerce One Financial Inc.
Respondent Lawyers(s): John Gardini, Thomas J. Jennings
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
21-0134401/11/2022Claimant(s): Rhys Helt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, RBC Capital Markets LLC
Respondent Lawyers(s): Jennifer E. Novoselsky, Tiana M. Towns
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Indianapolis, IN
21-0163001/11/2022Claimant(s): David Spratt
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Alexander Capital, L.P.
Respondent Lawyers(s): Rocco Guidicipierto
Arbitrator(s): Dora M. Lassinger, Gerald M. Levine, Judith C. Aarons
Hearing Site: New York, NY
17-0036101/10/2022Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): David Morris
Respondent Lawyers(s): David J. Morris
Arbitrator(s): Theodore W. Wrobleski, Jerome K. Rumps, Richard Russell Perlman
Hearing Site: Chicago, IL
20-0229301/10/2022Claimant(s): Nermin Khalil
Claimant Lawyers(s): John A. Mangones
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): William A. Barrett, Gerard S. Marsan, George Weston Mann
Hearing Site: Boston, MA
20-0405701/10/2022Claimant(s): Intellivest Securities.
Claimant Lawyers(s): Daniel H. Kolber
Respondent(s): Growth Capital Services.
Respondent Lawyers(s): Alvin L. Fishman
Arbitrator(s): Paul Joseph McIntyre, Brian Walsh Devlin, Richard Moore
Hearing Site: Atlanta, GA

11,393 Results

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