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FINRA Awards

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Displaying 2,211-2,220 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0112310/08/2021Claimant(s): Michele Misiti
Claimant Lawyers(s): Scott Holcomb
Respondent(s): John Thomas Financial
Respondent Lawyers(s): Maria Cummings
Arbitrator(s): Ann C. Northern, William E. Nuckel, Allan N. Taffet
Hearing Site: New York, NY
20-0099810/07/2021Claimant(s): Andrew Miller, Kory Lee
Claimant Lawyers(s): Jonah A Toleno
Respondent(s): USAA Investment Services Company
Respondent Lawyers(s): Sarah E. Moffett
Arbitrator(s): Joe E. Manuel
Hearing Site: Atlanta, GA
20-0314210/07/2021Claimant(s): Paul Neves
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Securities America.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
21-0004110/07/2021Claimant(s): Rony Porat
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): IDB Capital Corp.
Respondent Lawyers(s): Melissa R. Chernofsky
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
21-0072010/07/2021Claimant(s): Tomoe Odahara
Claimant Lawyers(s): Jordan D. Becker
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Susan C Lushing, Annamaria Boccia Smith, Mark Peter Haslinger
Hearing Site: New York, NY
20-0284010/06/2021Claimant(s): John Randolph
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Philip J. Glick
Hearing Site: Minneapolis, MN
21-0006110/06/2021Claimant(s): Michael Brown
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
21-0199310/06/2021Claimant(s): Kathleen Entwistle
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Michael H DuBoff
Hearing Site: New York, NY
20-0292910/05/2021Claimant(s): Thomas Brough
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Philip J. Glick
Hearing Site: Chicago, IL
21-0182910/05/2021Claimant(s): Ranjesh Singh
Claimant Lawyers(s): David I. Hantman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Maria V. Martin
Arbitrator(s): Josian Antoine
Hearing Site: New York, NY

11,393 Results

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