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FINRA Awards

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Displaying 7,071-7,080 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0121003/17/2015Claimant(s): Quentin Anderson
Claimant Lawyers(s): Richard L. Grant
Respondent(s): Raymond, James & Associates., Eagle Asset Management, Eagle Fund Distributors.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Randall T. Stack, Muriel Desloovere, Rochelle Friedman Walk
Hearing Site: Tampa, FL
14-0248203/17/2015Claimant(s): Michael Scongerella
Claimant Lawyers(s): Brittany Weiner
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
14-0202403/16/2015Claimant(s): Michele Skupp
Claimant Lawyers(s): Alan R. Skupp
Respondent(s): Miller Tabak + Co.
Respondent Lawyers(s): Jeffrey D. Miller
Arbitrator(s): Martin Jay Siegel
Hearing Site: New York, NY
14-0283203/16/2015Claimant(s): Andrew Gall
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Linda M. McCoy
Hearing Site: San Francisco, CA
14-0307903/16/2015Claimant(s): Teresa Vautier, William Desser
Claimant Lawyers(s): Paul J. Schumacher
Respondent(s): Donna Toral
Respondent Lawyers(s): Donna Toral
Arbitrator(s): Neil S. Jasper
Hearing Site: Los Angeles, CA
Expungement
11-0298703/13/2015Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Rene' Espinoza
Respondent Lawyers(s): Peter Roeser
Arbitrator(s): Marc Kalish, James W. Warren, Richard Kent Mahrle
Hearing Site: Phoenix, AZ
12-0088903/13/2015Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Roger Coe
Respondent Lawyers(s): Scot Schneiderman
Arbitrator(s): Robert J. Ambrogi, Nickolas F. Monteforte, Joseph C. Tully
Hearing Site: Boston, MA
12-0426503/13/2015Claimant(s): Laidlaw & Company (Uk) LTD.
Claimant Lawyers(s): Ross David Carmel
Respondent(s): Matthew Turner, Michael Moore
Respondent Lawyers(s): Matthew Turner, Michael T. Moore
Arbitrator(s): Jack Stein, John J. Hearn, Richard W. Epstein
Hearing Site: Boca Raton, FL
14-0189903/13/2015Claimant(s): Anastasios Belesis
Claimant Lawyers(s): Anastasios Belesis
Respondent(s): Arthur Coffey
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): James J. Fishman
Hearing Site: New York, NY
13-0127103/12/2015Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): Joshua Haron, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James A. Saville, Louis M. Lagalante
Arbitrator(s): Linda J. Baer, Brian F Loveman, Michele S. Riley
Hearing Site: New York, NY

11,393 Results

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