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FINRA Awards

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Displaying 2,101-2,110 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0132911/24/2021Claimant(s): Goran Bojovski
Claimant Lawyers(s): Robert E. Goldberg
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Maria V. Martin
Arbitrator(s): Robert E. Anderson
Hearing Site: Jersey City, NJ
21-0208811/24/2021Claimant(s): Holly Hendrix
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Steven C. Kasarda
Hearing Site: New York, NY
17-0120411/23/2021Claimant(s): Jordan Cahn
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): David A. Paul
Arbitrator(s): Peter A. Goldman, Mary P. Bass, Jason Scott Eveleth
Hearing Site: New York, NY
20-0419011/23/2021Claimant(s): Kyle Wang
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Josian Antoine
Hearing Site: New York, NY
21-0028111/23/2021Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Amy O. Roberts
Respondent(s): Susan Lawrence
Respondent Lawyers(s): H. Troy Romero
Arbitrator(s): Jeanne C Stilwell, David William Hickman, Charles Scott McClellan
Hearing Site: Seattle, WA
21-0051411/23/2021Claimant(s): Matthew Champion
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jason Snyder
Arbitrator(s): Jim Geiger, Thomas E. Webb, Francis Xavior Daumen
Hearing Site: Syracuse, NY
21-0065311/23/2021Claimant(s): Lee Hooks
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Karl A. Vogeler
Hearing Site: Nashville, TN
21-0119111/23/2021Claimant(s): Garrett Bland
Claimant Lawyers(s): Zachary S. Morse
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Samantha D. Parrish
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
19-0218411/22/2021Claimant(s): Christopher Landon
Claimant Lawyers(s): Kevin Thomas Hoffman
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Peter E. Gillespie, Harvey E. Benjamin, Judith C. Aarons
Hearing Site: New York, NY
20-0049511/22/2021Claimant(s): Barry Price
Claimant Lawyers(s): Kim L. Michael
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Lisa Lograno, Clive I. Morrick, Robert N. Fass
Hearing Site: New York, NY

11,393 Results

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