Potomac Analytics' Logo

FINRA Awards

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

Filter by:

Sort by:

Displaying 9,221-9,230 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0520708/30/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): James Van Dyke
Respondent(s): Michael Leake
Respondent Lawyers(s): Bryce H. Bennett
Arbitrator(s): James L. Karpen
Hearing Site: Detroit, MI
10-0124908/29/2011Claimant(s): Lisa Francis
Claimant Lawyers(s): Lisa Melinda Francis
Respondent(s): Bluestone Capital Corporation
Respondent Lawyers(s): Matthew Gohd
Arbitrator(s): David L. Binhak, Daniel Robbins, Annamaria Boccia Smith
Hearing Site: New York, NY
10-0574708/29/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Russell Hill
Respondent Lawyers(s): Russell Marvin Hill
Arbitrator(s): W. William Harness
Hearing Site: Atlanta, GA
11-0181008/29/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): James Van Dyke
Respondent(s): James Herrick
Respondent Lawyers(s): Kraig H. Koach
Arbitrator(s): Mimi B. Osiason
Hearing Site: Tampa, FL
11-0255708/29/2011Claimant(s): Edward Jones
Claimant Lawyers(s): Christoper A. Pickett
Respondent(s): Joseph Emily, Judson Doster, Morgan Stanley, Richard Phelan
Respondent Lawyers(s): M. Travis Foust, Michael D. Bressan
Arbitrator(s): Robert H. Putnam, Robert C. Port, Joseph Keith Lombino
Hearing Site: Atlanta, GA
10-0327808/26/2011Claimant(s): Steven Casull
Claimant Lawyers(s): Steven J. Casull
Respondent(s): Eagle Gate Securities.
Respondent Lawyers(s): Rodger A. Nye
Arbitrator(s): Peggy Peterson, A. O. Headman, Marilyn R. Lewis
Hearing Site: Salt Lake City, UT
11-0009608/26/2011Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Richard Yantis
Respondent Lawyers(s): Eric W. Johnson
Arbitrator(s): Robert S. Burk
Hearing Site: Des Moines, IA
11-0113008/26/2011Claimant(s): Morgan Stanley
Claimant Lawyers(s): Matthew Schurter
Respondent(s): Jon Reyerson
Respondent Lawyers(s): Clayton D. Halunen
Arbitrator(s): Thomas J. Gmeinder
Hearing Site: Minneapolis, MN
10-0325708/25/2011Claimant(s): Richard Denerstein
Claimant Lawyers(s): Dan A. Druz
Respondent(s): Lawrence Brazie, Westminster Financial Securities.
Respondent Lawyers(s): Edward D. Muransky
Arbitrator(s): Richard J. Grahn, Pamela E. Berman, Peter Andrew Marx
Hearing Site: Boston, MA
11-0140108/25/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Warren Weems, III
Respondent Lawyers(s): Warren Alfred Weems, III
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ

11,393 Results

Display: