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FINRA Awards

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Displaying 2,041-2,050 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0391812/17/2021Claimant(s): Howard Hill
Claimant Lawyers(s): Zachary Morse
Respondent(s): World Capital Brokerage.
Respondent Lawyers(s): David von Gunten
Arbitrator(s): Richard Djokic
Hearing Site: Denver, CO
21-0036112/17/2021Claimant(s): Thomas Seiler
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): John J. Jordan, Donald S. Bauman, Kattina V. Barsik
Hearing Site: Philadelphia, PA
21-0038212/17/2021Claimant(s): Scot Fairchild
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Lucia Securities
Respondent Lawyers(s): Tiy O'Neal
Arbitrator(s): Milton N. Gross
Hearing Site: Las Vegas, NV
21-0049912/17/2021Claimant(s): Jared Friedman
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): IFS Securities.
Respondent Lawyers(s): Joquinn T. Sadler
Arbitrator(s): Robert E. Anderson
Hearing Site: Jersey City, NJ
21-0119512/17/2021Claimant(s): Joseph Frank
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
21-0140212/17/2021Claimant(s): Damon Johnson
Claimant Lawyers(s): Zachary Morse
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
21-0172912/17/2021Claimant(s): Benjamin Lau
Claimant Lawyers(s): Frances Menzer
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Travis L. Salmon
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
21-0252012/17/2021Claimant(s): Michele Girgenti
Claimant Lawyers(s): David I. Hantman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
20-0117512/16/2021Claimant(s): John Palombo
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Rima F. Hartman
Arbitrator(s): G. Maynard Green, Daniel J. Pagnano, Brian James Tagtmeier
Hearing Site: Houston, TX
21-0008212/16/2021Claimant(s): James Bales
Claimant Lawyers(s): James Cosby
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Michael West
Arbitrator(s): Edward R. Hipp, Lita S Menkin, Gordon M. Wase
Hearing Site: Norfolk, VA

11,393 Results

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