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FINRA Awards

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Displaying 9,121-9,130 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0086111/01/2011Claimant(s): James Schwantner
Claimant Lawyers(s): James Phillip Schwantner
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Karen P. Gaster
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
11-0181111/01/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): John Monaghan
Respondent Lawyers(s): Al Van Kampen
Arbitrator(s): Lawrence E. Little
Hearing Site: Seattle, WA
09-0605710/31/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Joseph Wagner
Respondent Lawyers(s): Thomas P Silis
Arbitrator(s): C. Gregory Ellison, Edward Houry, Stephan Paul Carrier
Hearing Site: Washington, DC
11-0191910/28/2011Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Mark Nickels
Respondent Lawyers(s): Mark McMurray Nickels
Arbitrator(s): Richard B. Lewis
Hearing Site: Nashville, TN
11-0220410/28/2011Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Brian R. Mills
Respondent(s): Joey Dean
Respondent Lawyers(s): Joey Wade Dean
Arbitrator(s): Frederick Michael Switzer
Hearing Site: Little Rock, AR
10-0116310/27/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Luis Lopez
Respondent Lawyers(s): Brian Buckstein
Arbitrator(s): Gary M. Landau, Andrew David Kahng, Renaldy Jose Gutierrez
Hearing Site: Miami, FL
09-0569710/26/2011Claimant(s): Algrie Bridges
Claimant Lawyers(s): Algrie M. Bridges
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie Ronen
Arbitrator(s): Robert E. Thompson, Laura Effel, Susan B. Gans-Smith
Hearing Site: San Francisco, CA
10-0482210/26/2011Claimant(s): Morgan Stanley
Claimant Lawyers(s): Matthew Schurter
Respondent(s): Amarjeet Singh
Respondent Lawyers(s): Amarjeet Singh
Arbitrator(s): Donald W. Cohen
Hearing Site: Chicago, IL
11-0142910/24/2011Claimant(s): Uvest Financial Services Group.
Claimant Lawyers(s): William S. Heyman
Respondent(s): Frank Dittrick
Respondent Lawyers(s): Frank A. Dittrick
Arbitrator(s): Joseph A. Kenary
Hearing Site: Baltimore, MD
11-0179710/24/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): Esteban Llavallol
Respondent Lawyers(s): Esteban E. Llavallol
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY

11,393 Results

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