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FINRA Awards

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Displaying 3,811-3,820 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0346903/04/2020Claimant(s): AXA Advisors, AXA Network
Claimant Lawyers(s): Raha Assadi
Respondent(s): Scott McVicker
Respondent Lawyers(s): Scott Evans McVicker
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Denver, CO
19-0368203/04/2020Claimant(s): Neil Konigsberg
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
18-0404303/03/2020Claimant(s): Felipe Rodriguez
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Susanne J. Hollander
Hearing Site: Miami, FL
19-0138103/03/2020Claimant(s): Jordan Waring
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Gruntal & Co., L.L.C.
Respondent Lawyers(s): Gruntal & Co., L.L.C. Registered Agent
Arbitrator(s): Elena G. Rodriguez
Hearing Site: New York, NY
19-0179003/03/2020Claimant(s): Careena Patel
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): BBVA Securities Inc.
Respondent Lawyers(s): M. Lee Johnsey
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
19-0233603/03/2020Claimant(s): David Anthony
Claimant Lawyers(s): Joel M. Everest
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): G. Maynard Green
Hearing Site: Birmingham, AL
19-0357603/03/2020Claimant(s): Morgan Stanley
Claimant Lawyers(s): Laura L. Sammons
Respondent(s): Carrie West
Respondent Lawyers(s): Carrie Sue West
Arbitrator(s): Arthur H. Geffen
Hearing Site: Dallas, TX
19-0223803/02/2020Claimant(s): Scott Lowe
Claimant Lawyers(s): Frances Menzer
Respondent(s): Hornor, Townsend & Kent
Respondent Lawyers(s): Anton L. Hasenkampf
Arbitrator(s): Susan L. Walker
Hearing Site: Cleveland, OH
19-0254703/02/2020Claimant(s): Steven Bonetto
Claimant Lawyers(s): John Stewart
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Charlotte, NC
19-0350503/02/2020Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Marc Arnett
Respondent Lawyers(s): Marc Freeman Arnett
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA

11,393 Results

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