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FINRA Awards

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Displaying 2,131-2,140 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0365411/15/2021Claimant(s): Clinton Rinehart
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Richard W. Dissen
Hearing Site: Cincinnati, OH
19-0321211/12/2021Claimant(s): Austin Morton
Claimant Lawyers(s): Joe E. White
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Vicki J. Limas, James W. Kerr, Paula Patrick Kerrigan
Hearing Site: Oklahoma City, OK
20-0190211/12/2021Claimant(s): Ray Anthony San Pedro
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Eastbrook Capital Group LLC
Respondent Lawyers(s): Edward Samson
Arbitrator(s): Steven Gary Leventhal
Hearing Site: New York, NY
20-0308511/12/2021Claimant(s): Samuel Izaguirre
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC, Chase Investment Services Corp.
Respondent Lawyers(s): Michael A. Gross, Sara B. Davis
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
21-0044911/12/2021Claimant(s): Jude Offiah
Claimant Lawyers(s): Zachary T. Hayes-Macaluso
Respondent(s): Woodbury Financial Services., Tandem Securities.
Respondent Lawyers(s): James V. Noblett, Kristopher Miller
Arbitrator(s): Lynne M. Gomez
Hearing Site: Oklahoma City, OK
21-0175111/12/2021Claimant(s): Bradley Tiche
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Jeanette E. Dennis
Arbitrator(s): Robert E. Anderson
Hearing Site: Pittsburgh, PA
21-0011711/11/2021Claimant(s): Baerbel O'Haire
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
21-0046111/11/2021Claimant(s): Lloyd Glazer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Howard N. Gorney
Hearing Site: Boston, MA
18-0415511/10/2021Claimant(s): Jason Klein
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Olga Hejl
Respondent Lawyers(s): Salvatore W. Pirrotta
Arbitrator(s): Edward M. Olson, Raymond J. Sterling, Ethan Ray
Hearing Site: Detroit, MI
20-0307111/10/2021Claimant(s): Mathew Schweifler
Claimant Lawyers(s): Avi Rosenfeld
Respondent(s): Citicorp Investment Services
Respondent Lawyers(s): Rosemary Francavilla
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA

11,393 Results

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