Potomac Analytics' Logo

FINRA Awards

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

Filter by:

Sort by:

Displaying 8,601-8,610 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0392408/21/2012Claimant(s): Edward Dutcher
Claimant Lawyers(s): Kristine R. Lucas
Respondent(s): Leonard Wenglarski
Respondent Lawyers(s): Collin H. Nyeholt
Arbitrator(s): Martin I. Reisig
Hearing Site: Detroit, MI
Expungement
12-0077408/21/2012Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Babak G. Yousefzadeh
Respondent(s): Dennis Quan
Respondent Lawyers(s): Dennis Christopher Quan
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
08-0174408/20/2012Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): John Meier
Respondent Lawyers(s): Mark T. Butler
Arbitrator(s): Andrew G. Young, James George Timpa, Norman A. Samson
Hearing Site: Detroit, MI
10-0474608/20/2012Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Conway Donaldson
Respondent Lawyers(s): Conway Kirk Donaldson
Arbitrator(s): Joseph B. Russell, Joseph A. Forgione, Alun Hywel Jones
Hearing Site: New York, NY
11-0469508/20/2012Claimant(s): Aldo Valente, Nelson Martins
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Nicholas Mazzaferro
Respondent Lawyers(s): Benjamin Lapin
Arbitrator(s): Madelyn A. Levy
Hearing Site: New York, NY
Expungement
11-0164408/17/2012Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jeffrey Zimmerman
Respondent(s): Richard Swetish
Respondent Lawyers(s): Christopher A. Dorsey
Arbitrator(s): Sherry R. Wetsch, Brian E. Bro, James E. Lane
Hearing Site: Houston, TX
11-0321708/17/2012Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Michael Pompei
Respondent Lawyers(s): Michael Albert Pompei
Arbitrator(s): John F. Burns
Hearing Site: Detroit, MI
12-0040608/17/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): William P. Wallenstein
Respondent(s): Cary Rosenfeld
Respondent Lawyers(s): Cary Rosenfeld
Arbitrator(s): Walter S. Weiss
Hearing Site: Los Angeles, CA
11-0153208/16/2012Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): Joseph Boutross
Respondent Lawyers(s): Joseph Boutross
Arbitrator(s): Irving A. Chesler
Hearing Site: Chicago, IL
12-0020008/16/2012Claimant(s): Investment Centers of America.
Claimant Lawyers(s): Scott A. Chernich
Respondent(s): Monica Liska
Respondent Lawyers(s): Monica Marie Liska
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN

11,393 Results

Display: