Potomac Analytics' Logo

FINRA Awards

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 2,091-2,100 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0303811/30/2021Claimant(s): Joseph Glodek, Richard Libretti
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Marvin L. Schuldiner
Hearing Site: Jersey City, NJ
21-0082111/30/2021Claimant(s): George Reyes
Claimant Lawyers(s): George A Reyes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John T. DiNapoli
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
20-0006711/29/2021Claimant(s): Gary Deardorff
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): LPL Financial LLC, Next Financial Group.
Respondent Lawyers(s): John T. Unger, Sara B. Davis
Arbitrator(s): Michael Kelley
Hearing Site: Phoenix, AZ
20-0393911/29/2021Claimant(s): Ralph Basile
Claimant Lawyers(s): Alex E. Rogers
Respondent(s): George Madrigal, Penserra Securities
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Peter Bennett, Stephen L. Lister, Howard Alan Grinsberg
Hearing Site: Jersey City, NJ
20-0092811/24/2021Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Julian Pace
Respondent Lawyers(s): Jarrod J. Malone
Arbitrator(s): Langfred W. White, Cindy L. Anderson, Barry Allen Barr
Hearing Site: Jacksonville, FL
20-0319211/24/2021Claimant(s): David Ruckno
Claimant Lawyers(s): Mark S. Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): John P. Cullem
Hearing Site: Columbia, SC
20-0407111/24/2021Claimant(s): Alexander Cohen
Claimant Lawyers(s): Steven I. Adler
Respondent(s): Prudential Investment Mgmt Services LLC
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Michael H DuBoff, Joan M. Traub, Pavlos Papageorgiou
Hearing Site: New York, NY
21-0022111/24/2021Claimant(s): James Kennedy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Peter A. Goldman
Hearing Site: Albany, NY
21-0101911/24/2021Claimant(s): John Barber
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Julius Z. Frager
Hearing Site: Columbus, OH
21-0117011/24/2021Claimant(s): Sanjay Beach
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Tracy L. Allen
Hearing Site: Cleveland, OH

11,393 Results

Display: