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FINRA Awards

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Displaying 2,811-2,820 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0262903/25/2021Claimant(s): James Aughenbaugh
Claimant Lawyers(s): Brian Luther
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert Rudnicki
Arbitrator(s): William A. Fynes
Hearing Site: Dallas, TX
20-0307303/25/2021Claimant(s): Robert Mabe
Claimant Lawyers(s): Brian Luther
Respondent(s): H. Beck.
Respondent Lawyers(s): Matt Winterhalter
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
20-0307603/25/2021Claimant(s): Jason Oleet
Claimant Lawyers(s): Brian Luther
Respondent(s): Oleet Securities
Respondent Lawyers(s): Jason Oleet
Arbitrator(s): Douglas M. Branson
Hearing Site: Montpelier, VT
20-0315003/25/2021Claimant(s): Thomas Paulson
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Susanne J. Hollander
Hearing Site: Chicago, IL
20-0104003/24/2021Claimant(s): Arturo Torres
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Usaa Investment Services Company
Respondent Lawyers(s): Sarah Moffett
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
20-0214003/24/2021Claimant(s): Scott Wetherbee
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): H. Beck.
Respondent Lawyers(s): Matt Winterhalter
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
20-0218703/24/2021Claimant(s): Donald Adkins
Claimant Lawyers(s): Zachary T. Hayes-Macaluso
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Charlton Young
Arbitrator(s): Richard S. Zaifert
Hearing Site: Raleigh, NC
20-0220203/24/2021Claimant(s): Scott Tiras
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
20-0246503/24/2021Claimant(s): Jordan Waring
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Lehman Brothers Inc
Respondent Lawyers(s): Thomas E. Hommel
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
20-0254303/24/2021Claimant(s): Christopher Conness
Claimant Lawyers(s): Harris Freedman
Respondent(s): G.F. Investment Services
Respondent Lawyers(s): Larry W. Yager
Arbitrator(s): Barry David Thorpe
Hearing Site: Boca Raton, FL

11,393 Results

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