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FINRA Awards

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Displaying 2,301-2,310 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0118608/30/2021Claimant(s): Douglas Wall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Patricia Beaujean Lehtola
Hearing Site: Dallas, TX
21-0085008/30/2021Claimant(s): Rachel Comfort
Claimant Lawyers(s): Zachary S. Morse
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Michael . J Biondi
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
19-0281908/27/2021Claimant(s): Timothy Zeng
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Anna Matsuo
Arbitrator(s): Joseph J. Arata, Richard W. Cutler, Bertrand Charles Sellier
Hearing Site: New York, NY
21-0010508/27/2021Claimant(s): David Rojas
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
18-0387708/26/2021Claimant(s): Michael Gardner
Claimant Lawyers(s): Daniel Branower
Respondent(s): Cantor Fitzgerald Europe, Cantor Fitzgerald Investment Advisors LP
Respondent Lawyers(s): Nirav S. Shah
Arbitrator(s): Walter Arthur Saurack, Phillip Weitzman, Nancy Marie Thevenin
Hearing Site: New York, NY
20-0225208/26/2021Claimant(s): James Womack
Claimant Lawyers(s): Michael E. Ciochina
Respondent(s): Luke McKelvy
Respondent Lawyers(s): Connie M. Fickel
Arbitrator(s): Mary E. Woytek, Bruce Wayne Campbell, Victoria Liccione
Hearing Site: Charlotte, NC
20-0228508/26/2021Claimant(s): Mathew Schweifler
Claimant Lawyers(s): Harry Meyer
Respondent(s): Brokersxpress LLC
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
20-0240408/26/2021Claimant(s): Levant Bishop
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Dalton Kent Securities Group.
Respondent Lawyers(s): Edward Olson
Arbitrator(s): John Michael Bergin
Hearing Site: New York, NY
20-0241508/26/2021Claimant(s): Levant Bishop
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): James J. Stamos
Hearing Site: Chicago, IL
20-0035208/25/2021Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jeffery D. Rodgers
Respondent(s): Jose De La Rosa Garcia
Respondent Lawyers(s): Tony Haber
Arbitrator(s): Kimberlee Ann Fowler
Hearing Site: Boca Raton, FL

11,393 Results

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