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FINRA Awards

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Displaying 9,271-9,280 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0133608/02/2011Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): R. Hal Meeks
Respondent(s): Jorge Torrens
Respondent Lawyers(s): Jorge Torrens
Arbitrator(s): Cindy L. Anderson
Hearing Site: Jacksonville, FL
10-0134008/01/2011Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Inc
Claimant Lawyers(s): Jason K. Roberts
Respondent(s): John Bauer
Respondent Lawyers(s): John T. Bauer
Arbitrator(s): Thomas J. Ray
Hearing Site: Dallas, TX
10-0137108/01/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Shane Springman, William Brennan
Respondent Lawyers(s): David M. Foster
Arbitrator(s): Stuart Sinai
Hearing Site: Detroit, MI
10-0430108/01/2011Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Mark Levine
Respondent Lawyers(s): Martin A. Gould
Arbitrator(s): June Y. Kilmarx
Hearing Site: Hartford, CT
09-0549807/29/2011Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward B. Magarian
Respondent(s): Todd Feldman
Respondent Lawyers(s): Willard Knox
Arbitrator(s): Edward M. Statland, E. William Pastor, Robert Vaughan Cornish
Hearing Site: Washington, DC
10-0088607/29/2011Claimant(s): Thomas Anderson
Claimant Lawyers(s): Natalie M. Koss
Respondent(s): Fred Alger & Company.
Respondent Lawyers(s): Bennett L. Epstein
Arbitrator(s): Mark D. Quinn, Gloria O. North, Elena G. Rodriguez
Hearing Site: Ft. Lauderdale, FL
10-0168707/29/2011Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jeffrey I Kohn
Respondent(s): Morgan Stanley & Co., Mark Mensack, Peter Prunty, Richard Maratea
Respondent Lawyers(s): James C Shah, Jeffrey I Kohn
Arbitrator(s): E. William Pastor, David B. Harwi, Michael J. Garry
Hearing Site: Philadelphia, PA
10-0379807/29/2011Claimant(s): First Allied Securities.
Claimant Lawyers(s): Anne Yannakakis
Respondent(s): Humbert Michini
Respondent Lawyers(s): Humbert A. Michini
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
09-0656407/28/2011Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Beth Delaney
Respondent(s): Bryan Oliver
Respondent Lawyers(s): Bryan Oliver
Arbitrator(s): Bert P. Krages
Hearing Site: Boise, ID
10-0344407/28/2011Claimant(s): John Wilson
Claimant Lawyers(s): Paul T. Shoemaker
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Robert N. Holtzman
Arbitrator(s): Alida D. Camp, Sherri L. Hughes, Ellyn S. Roth
Hearing Site: New York, NY

11,393 Results

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