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FINRA Awards

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Displaying 9,301-9,310 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0192107/12/2011Claimant(s):
Claimant Lawyers(s):
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Roland L. Olzark, Earlene R. Baggett-Hayes, Howard T.D. Spence
Hearing Site: Detroit, MI
10-0261807/12/2011Claimant(s): Mark Porter
Claimant Lawyers(s): Richard M. Gelb
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): June Y. Kilmarx, Paul F. Marandett, Steven S. Manos
Hearing Site: Boston, MA
10-0525307/12/2011Claimant(s): Daniel Depalma
Claimant Lawyers(s): Daniel P DePalma
Respondent(s): John Liegey, Weston International Capital Markets Llc
Respondent Lawyers(s): Robert F. Waybrun, Robert F. Wayburn
Arbitrator(s): Gary W. Sherbell
Hearing Site: New York, NY
11-0004107/12/2011Claimant(s): Samuel Crichton
Claimant Lawyers(s): Todd Ratner
Respondent(s): Thomas Johnson
Respondent Lawyers(s): Robert Q. Sayre
Arbitrator(s): Bert S Cliff, James A. Laurenson
Hearing Site: Charleston, WV
Expungement
11-0010907/12/2011Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Kate S. Arduini
Respondent(s): Kristi Lenderman
Respondent Lawyers(s): Kristi Ann Lenderman
Arbitrator(s): R. Phillip Reed
Hearing Site: Denver, CO
09-0593407/11/2011Claimant(s): HAP Trading
Claimant Lawyers(s): Thomas J. McCabe
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Gabrielle Gould
Arbitrator(s): Robert L. Spangler, Allan N. Taffet, Mark J. Happe
Hearing Site: New York, NY
10-0251707/08/2011Claimant(s): Robert Petrowski
Claimant Lawyers(s): Ian A.J. Pitz
Respondent(s): Amanda Gausewitz, Jon Goldstein, Kyle Kerkenbush
Respondent Lawyers(s): Richard M. Burnham
Arbitrator(s): Leonard G. Leverson, David J. Hase, James Richard Carlson
Hearing Site: Milwaukee, WI
10-0179007/07/2011Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Justin P. Krypel
Respondent(s): Randall Deane
Respondent Lawyers(s): Philip J Snyderburn
Arbitrator(s): Robert S. Natiss
Hearing Site: Orlando, FL
10-0317807/07/2011Claimant(s): Michael Popick
Claimant Lawyers(s): Russell K. Bean
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alyssa K. Yatsko
Arbitrator(s): Steven Meyrich
Hearing Site: Denver, CO
11-0027907/07/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Susan Keator
Respondent Lawyers(s): David O.N. Johnson
Arbitrator(s): Andrew R. Dick
Hearing Site: Minneapolis, MN

11,393 Results

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