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FINRA Awards

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Displaying 9,261-9,270 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0555208/04/2011Claimant(s): Daniel Doyle
Claimant Lawyers(s): Roger W. Van Deusen
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Vincent T. Norwillo
Arbitrator(s): Thomas R. Skulina, Joseph Edelstein, Stephen M. Bales
Hearing Site: Cleveland, OH
11-0015108/04/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Thomas Jones
Respondent Lawyers(s): Thomas Marshall Jones
Arbitrator(s): Robert H. Putnam
Hearing Site: Houston, TX
10-0404408/03/2011Claimant(s): Michael Opp
Claimant Lawyers(s): Otto K. Hilbert
Respondent(s): KCD Financial.
Respondent Lawyers(s): Richard M. Nummi
Arbitrator(s): Marc H. Schtul
Hearing Site: Denver, CO
10-0484308/03/2011Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Tracey Frank
Respondent Lawyers(s): Richard F. Bednarski
Arbitrator(s): Jess B. Cohen
Hearing Site: Denver, CO
11-0010008/03/2011Claimant(s): NEXT Financial Group.
Claimant Lawyers(s): Owen P. McGill
Respondent(s): Jonda Lowe
Respondent Lawyers(s): Clifford J. Hunt
Arbitrator(s): Fred W. Beesley
Hearing Site: Nashville, TN
09-0659008/02/2011Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Franklin Hill
Respondent Lawyers(s): Franklin Hill
Arbitrator(s): Merle D. Rockwell, Yvette C. Hatfield, Gene E. Godley
Hearing Site: Washington, DC
10-0080208/02/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): John Birrenkott
Respondent Lawyers(s): John M. Birrenkott
Arbitrator(s): James J. Moylan, Marc H. Schtul, James J. Ashe
Hearing Site: Denver, CO
11-0010208/02/2011Claimant(s): NEXT Financial Group.
Claimant Lawyers(s): Owen P. McGill
Respondent(s): Randall Simpson
Respondent Lawyers(s): Randall Simpson
Arbitrator(s): Robert P. Porter
Hearing Site: Raleigh, NC
11-0097008/02/2011Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Hegyan
Respondent Lawyers(s): Michael G. Hegyan
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Chicago, IL
11-0101008/02/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Alfred Nittoli
Respondent Lawyers(s): Alfred Thomas Nittoli
Arbitrator(s): David I. Goldblatt
Hearing Site: Newark, NJ

11,393 Results

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