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FINRA Awards

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Displaying 2,111-2,120 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0082611/22/2021Claimant(s): Kenneth Bowers
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): The Prudential Insurance Co of America
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Albuquerque, NM
21-0106411/22/2021Claimant(s): Molly Rambo
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Robert E. Anderson
Hearing Site: Providence, RI
21-0146511/22/2021Claimant(s): Benjamin Fuchs
Claimant Lawyers(s): David I. Hantman
Respondent(s): Silver Oak Securitiesorporated
Respondent Lawyers(s): William E. Hopkins
Arbitrator(s): Linda J. Baer
Hearing Site: Hartford, CT
20-0179711/19/2021Claimant(s): Raymond San Agustin
Claimant Lawyers(s): Christopher L. Schaeffer
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Thomas Michael Genovese
Hearing Site: Chicago, IL
21-0088811/19/2021Claimant(s): Brian Kutsmeda
Claimant Lawyers(s): Cory Zadanosky
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Justin Sciabbarrasi
Arbitrator(s): Robert G. Geeseman
Hearing Site: Boca Raton, FL
21-0137911/19/2021Claimant(s): Vicente Castillo
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
19-0041511/18/2021Claimant(s): Craig Price
Claimant Lawyers(s): Neil L. Henrichsen
Respondent(s): Raymond Klahne, William Gilcher
Respondent Lawyers(s): Julie I. Taylor
Arbitrator(s): Warren D. Brown, Sidney J. Wartel, Marie Katz
Hearing Site: Boca Raton, FL
19-0096011/18/2021Claimant(s): John Shubert
Claimant Lawyers(s): Thomas C. Allison
Respondent(s): Cbiz Financial Solutions.
Respondent Lawyers(s): Michaael J. Charlillo
Arbitrator(s): Mauricio Arcadier, Glenn W. Wheelock, Mitchel Weiss
Hearing Site: Orlando, FL
20-0318811/18/2021Claimant(s): Erik Drewes
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): American Capital Partners
Respondent Lawyers(s): John Gardini
Arbitrator(s): Brian John Gallagher
Hearing Site: New York, NY
20-0382711/18/2021Claimant(s): Craig Pearlman
Claimant Lawyers(s): Jacob L. Kahn
Respondent(s): Aon Securities
Respondent Lawyers(s): David M. Katz
Arbitrator(s): Mark W Solock
Hearing Site: Chicago, IL

11,393 Results

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