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FINRA Awards

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Displaying 8,961-8,970 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0302301/19/2012Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Ronald Hyde
Respondent Lawyers(s): Ronald M. Hyde
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Portland, OR
11-0082801/19/2012Claimant(s): Eduardo Morkunas
Claimant Lawyers(s): Eduardo Morkunas
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): William McCourt Schmitt
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
Expungement
11-0141401/18/2012Claimant(s): Keith Steidle
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Norman L. Tolle
Arbitrator(s): Edward W. Morris, Frank Masi, Paul Allan Massaro
Hearing Site: Newark, NJ
11-0167901/18/2012Claimant(s): Kevin Fifield
Claimant Lawyers(s): Jon M. Bylsma
Respondent(s): Securities America.
Respondent Lawyers(s): Dennis J. Levasseur
Arbitrator(s): Patrick R. Sughroue, Leonard R. Present, Conrad W. Koski
Hearing Site: Detroit, MI
11-0286001/18/2012Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Bryan Foster
Respondent Lawyers(s): Bryan Scott Foster
Arbitrator(s): Edward M. Olson
Hearing Site: Detroit, MI
11-0321901/18/2012Claimant(s): Thomas Moran
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): J. Burke McCormick
Arbitrator(s): Michael S. Hill
Hearing Site: Boca Raton, FL
08-0351401/13/2012Claimant(s): Thomas Gorter
Claimant Lawyers(s): David B. Cosgrove
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Sonia E. O'Donnell
Arbitrator(s): David W. Stanton, Billy G. Hopkins, John Keith Benson
Hearing Site: Louisville, KY
10-0179401/13/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Paul Hitchcock
Respondent Lawyers(s): Paul Gerard Hitchcock
Arbitrator(s): Paul D. Gutierrez
Hearing Site: San Francisco, CA
10-0453301/13/2012Claimant(s): Morgan Stanley
Claimant Lawyers(s): Daniel Derechin
Respondent(s): Mark Sullivan
Respondent Lawyers(s): Jeffrey C. Pepin
Arbitrator(s): Marilyn J. Salzman
Hearing Site: Boca Raton, FL
11-0209501/12/2012Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James L. Komie
Respondent(s): Harold Sheehan
Respondent Lawyers(s): Harold A. Sheehan
Arbitrator(s): Beth Rackley Hesselson
Hearing Site: Cleveland, OH

11,393 Results

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