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FINRA Awards

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Displaying 9,141-9,150 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
02-0750110/19/2011Claimant(s): Peter Green
Claimant Lawyers(s): Peter Green
Respondent(s): Cadaret Grant & Co..
Respondent Lawyers(s): Chaim J. Jaffe
Arbitrator(s): Joseph J. Arata, John B. Myers, Gary W. Sherbell
Hearing Site: New York, NY
10-0479510/19/2011Claimant(s): Leiby Jeremias
Claimant Lawyers(s): Leiby Jeremias
Respondent(s): Michael Ferraro
Respondent Lawyers(s): Michael John Ferraro
Arbitrator(s): Mary L. Williams
Hearing Site: Los Angeles, CA
11-0149510/19/2011Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Donald Glover
Respondent Lawyers(s): Donald Lee Glover
Arbitrator(s): Chandler R Bridges
Hearing Site: Atlanta, GA
11-0155310/19/2011Claimant(s): Paul Manelis
Claimant Lawyers(s): Paul Joseph Manelis
Respondent(s): WJB Capital Group.
Respondent Lawyers(s): Mark Skolnick
Arbitrator(s): Linda Ashley
Hearing Site: New York, NY
11-0181910/19/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): Jeffrey Tock
Respondent Lawyers(s): Jeffrey Scott Tock
Arbitrator(s): Frank C. Fogl
Hearing Site: Cleveland, OH
11-0091210/17/2011Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Ronald Kambic
Respondent Lawyers(s): Ronald John Kambic
Arbitrator(s): R. Phillip Reed
Hearing Site: Omaha, NE
11-0102810/17/2011Claimant(s): Jason Guehl
Claimant Lawyers(s): Jason Robert Guehl
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Vaughn Thomas Hale, Joyce L. Hurley, Daniel David Kopman
Hearing Site: Los Angeles, CA
11-0130310/17/2011Claimant(s): John Williams
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): Deborah Tucker, Kenneth Tucker
Respondent Lawyers(s): Stephen Meyer
Arbitrator(s): Thomas R. Skulina, Alex H. Keller, Harvey Michael Rosenberg
Hearing Site: Charleston, WV
Expungement
10-0149310/14/2011Claimant(s): Morgan Stanley
Claimant Lawyers(s): David Lee
Respondent(s): Bruce Osborne
Respondent Lawyers(s): Kenneth W. Baisch
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
10-0559310/14/2011Claimant(s): Cornelius Choy
Claimant Lawyers(s): Mark Alan Goodman
Respondent(s): Wallstreet*e Financial Services.
Respondent Lawyers(s): Carlos F. Otalvaro
Arbitrator(s): Joseph H. Sturdivant, David I. Levine, William Michael Samsel
Hearing Site: San Francisco, CA

11,393 Results

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