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FINRA Awards

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Displaying 4,191-4,200 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0119410/08/2019Claimant(s): Alfonso Boneta
Claimant Lawyers(s): Linette Figueroa Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Roberto C. Quinones
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
18-0440710/07/2019Claimant(s): Clive Buchan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s):
Hearing Site: Syracuse, NY
19-0029610/07/2019Claimant(s): Charles Smith
Claimant Lawyers(s): Michael O'Gara
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): C. Sumpter Logan
Hearing Site: Oklahoma City, OK
18-0063710/04/2019Claimant(s): Tetyana Luczaj
Claimant Lawyers(s): Tetyana Luczaj
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Frederick T. Smith
Arbitrator(s): Guillermo L. Bosch, Alan M. Schankel, Laura A. Kaster
Hearing Site: Philadelphia, PA
18-0377210/04/2019Claimant(s): Peter Dizdar
Claimant Lawyers(s): Brittany Weiner
Respondent(s): Invest Financial Corporation
Respondent Lawyers(s): Scott R. Forbush
Arbitrator(s): Joseph H. Cerame
Hearing Site: Newark, NJ
18-0399510/04/2019Claimant(s): Craig Kinard, Guido Graff
Claimant Lawyers(s): Jason S. Pinney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s):
Hearing Site: New York, NY
18-0441910/04/2019Claimant(s): Marc Jacobson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities., AXA Advisors
Respondent Lawyers(s): Alan S. Brodherson, Michael J. Biondi
Arbitrator(s): Kenneth N. Adamson
Hearing Site: Chicago, IL
19-0041310/04/2019Claimant(s): Robert Rose
Claimant Lawyers(s): Frances Menzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Herbert Liberman
Hearing Site: San Diego, CA
18-0121610/03/2019Claimant(s): Peter Weiner
Claimant Lawyers(s): Michael J. Tuteur
Respondent(s): State Street Global Markets
Respondent Lawyers(s): Morgan C. Nighan
Arbitrator(s): William A. Barrett, Frank Sanclemente, Dennis E. Nelson
Hearing Site: Boston, MA
18-0418510/03/2019Claimant(s): James O'Leary
Claimant Lawyers(s): Jeffrey S. Greenhaus
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO

11,393 Results

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