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FINRA Awards

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Displaying 2,251-2,260 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0053009/23/2021Claimant(s): Wen Wu
Claimant Lawyers(s): Zachary T. Hayes- Macaluso
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
21-0149709/23/2021Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Patrick J. Bradley
Respondent(s): Ricardo Turlan
Respondent Lawyers(s): Ricardo Turlan
Arbitrator(s): Michael Louis Goldstone
Hearing Site: Houston, TX
20-0021709/22/2021Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Anthony J Borrelli
Respondent(s): Jason Seifert
Respondent Lawyers(s): Jeffrey C. Miller
Arbitrator(s): Robert J. Scafuri, Robert M. Shwab, David Minc
Hearing Site: Cleveland, OH
20-0318309/22/2021Claimant(s): Timothy Longo
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): Morgan Stanley DW Inc., Trident Partners Ltd.
Respondent Lawyers(s): Jeremy S. Winer, Nicholas Scavone
Arbitrator(s): Patricia Kathleen Costello
Hearing Site: New York, NY
20-0420709/22/2021Claimant(s): Alex Shore
Claimant Lawyers(s): Bejamin J. Biard
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Thomas Joseph Atkinson, Douglas Charles Weinstein, Sara Francis Hoover
Hearing Site: Nashville, TN
21-0016009/22/2021Claimant(s): Aya Metwally
Claimant Lawyers(s): Ian McLoughlin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): William A. Barrett, Gerard S. Marsan, Frederick W. Keuthen
Hearing Site: Boston, MA
21-0075809/22/2021Claimant(s): William Stordahl
Claimant Lawyers(s): Chelsea Masters
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Thaddeus J. Tecza
Hearing Site: Denver, CO
20-0159409/20/2021Claimant(s): Brandon Cheshier
Claimant Lawyers(s): Danilo Borgas
Respondent(s): Citizens Securities.
Respondent Lawyers(s): Brenna Anatone Force
Arbitrator(s): Jim Geiger, Robert L. Chase, John C Solomon
Hearing Site: Providence, RI
20-0247209/20/2021Claimant(s): Stephen Kiront
Claimant Lawyers(s): John D. Stewart
Respondent(s): Monroe Parker Securities., Stratton Oakmont., Fairchild Financial Group.
Respondent Lawyers(s): Alan Lipsky, Domingas Tavares, Patrick G. Hayes
Arbitrator(s): Carol Maria Luttati
Hearing Site: New York, NY
20-0272609/20/2021Claimant(s): Roger Camp
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY

11,393 Results

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