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FINRA Awards

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Displaying 9,321-9,330 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0013506/29/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael Naccarato
Respondent(s): Laurence Debord
Respondent Lawyers(s): Laurence J. Debord
Arbitrator(s): Lee H. Goodman
Hearing Site: Chicago, IL
11-0023306/29/2011Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Greggory Vinson
Respondent Lawyers(s): Greggory Allen Vinson
Arbitrator(s): David B. Lacks
Hearing Site: Kansas City, MO
10-0421106/27/2011Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Terri Evans
Respondent Lawyers(s): Terri Jo Evans
Arbitrator(s): Gary L. Grolle
Hearing Site: Milwaukee, WI
10-0524206/27/2011Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Kurtis Linn
Respondent Lawyers(s): Montgomery G. Griffin
Arbitrator(s): James D. Knotter
Hearing Site: Los Angeles, CA
09-0028606/24/2011Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Gregory Kenzik
Respondent Lawyers(s): Neil A. Sussman
Arbitrator(s): Carolyn A. Mann, Preston V. Pumphrey, Alun Hywel Jones
Hearing Site: New York, NY
09-0397606/24/2011Claimant(s): First Command Bank, First Command Financial Planning., First Command Financial Services.
Claimant Lawyers(s): Jeremy L. Harmon
Respondent(s): Kenneth Davey
Respondent Lawyers(s): Branden W. Sparks
Arbitrator(s): Ann Blaess Kimball, Russell H Hairston, Larry N. Quinn
Hearing Site: Dallas, TX
09-0613306/24/2011Claimant(s): Esposito Securities
Claimant Lawyers(s): Deborah Deitsch-Perez
Respondent(s): Daniel Biaggio, Francis Merrill, Michael Marchand, Stephen Capurso, WFG Investments.
Respondent Lawyers(s): Brian J. Hurst
Arbitrator(s): Robert L. Yeager, Melinda G. Jayson, George F. Longino
Hearing Site: Dallas, TX
10-0189706/24/2011Claimant(s): Deborah Gandy
Claimant Lawyers(s): Patricia L. Payne
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph E. Gehring
Arbitrator(s): M. Michael Cramer, David Paul Clark, Lloyd M. Richardson
Hearing Site: Washington, DC
10-0527406/24/2011Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Christopher Keosseian
Respondent Lawyers(s): Christopher Keosseian
Arbitrator(s): David I. Goldblatt
Hearing Site: Newark, NJ
09-0197506/23/2011Claimant(s): Gary Goldberg & Co.., Gary Goldberg Planning Services.
Claimant Lawyers(s): Arnold E. Reiter
Respondent(s): Ameriprise Financial Services., Leah Lebovits, Sidney Abramowitz
Respondent Lawyers(s): John Greco, Philip J. Campisi
Arbitrator(s): Michael H. DuBoff, Alfonso G. Figliolia, Abigail J. Pessen
Hearing Site: New York, NY

11,393 Results

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