Potomac Analytics' Logo

FINRA Awards

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 4,361-4,370 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0046008/02/2019Claimant(s): Donald Monti
Claimant Lawyers(s): Mary-Jo Rebelo
Respondent(s): Daniel Thompson
Respondent Lawyers(s): James W. Kraus
Arbitrator(s): Karimu F. Hill-Harvey, Peter Mark Elish, Rosemary Christina Crawford
Hearing Site: Pittsburgh, PA
18-0320608/02/2019Claimant(s): Shishir Meshram
Claimant Lawyers(s): Robert Gonser
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Trevor J. Hardy
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: New York, NY
18-0416908/02/2019Claimant(s): Alfred Dingler
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Himco Distribution Services Company
Respondent Lawyers(s): Brenda J. Page
Arbitrator(s): Harry G. Mason
Hearing Site: Atlanta, GA
18-0436808/02/2019Claimant(s): Timothy Thomas
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy L. Moore
Arbitrator(s): David William Hickman
Hearing Site: Seattle, WA
18-0442508/01/2019Claimant(s): Kenneth Levene
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Catherine Stewart
Hearing Site: Newark, NJ
18-0032507/31/2019Claimant(s): Daryl Cole
Claimant Lawyers(s): Michael Bessette
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Bradley A. Fishman
Arbitrator(s): Neil S. Jasper
Hearing Site: Los Angeles, CA
18-0386407/31/2019Claimant(s): Julie Castillo
Claimant Lawyers(s): Julie Hermes Castillo
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Allen Kilik, Robert Lawrence Ostrov, Tiffany Jeanette Brown
Hearing Site: Boca Raton, FL
18-0137807/30/2019Claimant(s): Robert Horning
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Direct Capital Securities.
Respondent Lawyers(s): Ray Stovall
Arbitrator(s): Adam Michael Porter
Hearing Site: Los Angeles, CA
18-0188107/30/2019Claimant(s): Kim Ngo
Claimant Lawyers(s): Marc Schifanelli
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Lisa M. Bertain
Arbitrator(s): Peter J Cohen, George Herman Frisch, Stephen Laughlin Eddy
Hearing Site: Los Angeles, CA
18-0199207/30/2019Claimant(s): John Steer
Claimant Lawyers(s): Philip J. Castagno
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Louis F. Mendez
Arbitrator(s): Richard W. Dissen
Hearing Site: Louisville, KY

11,393 Results

Display: