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FINRA Awards

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Displaying 2,921-2,930 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0077803/02/2021Claimant(s): Christopher Jacob
Claimant Lawyers(s): Brian Luther
Respondent(s): Madison Avenue Securities
Respondent Lawyers(s): Christina Vourakis
Arbitrator(s): Robert J. Gryzmala
Hearing Site: St. Louis, MO
20-0080403/02/2021Claimant(s): Zhi Li
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): David Hantman
Arbitrator(s): Joseph I. Liebman
Hearing Site: New York, NY
20-0192903/02/2021Claimant(s): James Lombardo
Claimant Lawyers(s): James E. Heavey
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Brian John Gallagher, Peter E. Gillespie, Steven Gargiulo
Hearing Site: New York, NY
20-0204303/02/2021Claimant(s): Andrew Urbanski
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
19-0141103/01/2021Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Vince Glenn
Respondent Lawyers(s): Kevin T. Duffy
Arbitrator(s): John Carl Cirincion, Mary Julia O'Connell, Albert Rizzo
Hearing Site: New York, NY
20-0050103/01/2021Claimant(s): Todd Cirella
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): Laidlaw & Company (UK) Ltd.
Respondent Lawyers(s): Charles Smulevitz
Arbitrator(s): John F. Duane
Hearing Site: New York, NY
20-0189303/01/2021Claimant(s): Chadwick Watson, Jeffrey Furniss
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Kyle B. Osting
Arbitrator(s): Thomas J. Dolina
Hearing Site: Baltimore, MD
20-0321203/01/2021Claimant(s): Debra Stokes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perrault
Arbitrator(s): Selma Moy
Hearing Site: New York, NY
20-0166702/26/2021Claimant(s): Primo Bushati
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Bankers Life Securities.
Respondent Lawyers(s): Steven K. Huffer
Arbitrator(s): Brian G. Mooney
Hearing Site: Tampa, FL
20-0181302/26/2021Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Renan Sugarman
Respondent(s): Michael Fels
Respondent Lawyers(s): Michael Todd Fels
Arbitrator(s): Langfred W. White
Hearing Site: Tampa, FL

11,393 Results

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