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FINRA Awards

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Displaying 9,371-9,380 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0426106/09/2011Claimant(s): Chicago Investment Group, Llc
Claimant Lawyers(s): Howard J. Rosenburg
Respondent(s): Cinthia Collins
Respondent Lawyers(s): Cinthia Faye Collins
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
09-0493606/09/2011Claimant(s): Brook Payner
Claimant Lawyers(s): Donald Chase
Respondent(s): Natixis Securities North America Inc.
Respondent Lawyers(s): Bertrand C. Sellier
Arbitrator(s): Mark J. Happe, Sam Antar
Hearing Site: New York, NY
10-0227206/09/2011Claimant(s): Robert Gillin
Claimant Lawyers(s): Marc A. Susswein
Respondent(s): Syndicated Capital.
Respondent Lawyers(s): Faith Lee
Arbitrator(s): John Daly
Hearing Site: New York, NY
10-0401706/09/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Jess Perez
Respondent Lawyers(s): Jess Perez
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
10-0520906/09/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): James Van Dyke
Respondent(s): Thomas O'Malley
Respondent Lawyers(s): Thomas O'Malley
Arbitrator(s): Claude O. Ramer
Hearing Site: Memphis, TN
11-0064506/09/2011Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Andrew G Gioia
Respondent(s): John Burke
Respondent Lawyers(s): John E. Burke
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
10-0174306/08/2011Claimant(s): Glenn Garmont
Claimant Lawyers(s): Eric J. Shames
Respondent(s): Gleacher & Company Securities., Gleacher & Company.
Respondent Lawyers(s): Richard G. Kass
Arbitrator(s): Burton M. Fendelman, David I. Goldblatt, Andrew J. Gerber
Hearing Site: New York, NY
10-0180306/08/2011Claimant(s): Scott Olson
Claimant Lawyers(s): Alan M. Wolper
Respondent(s): World Equity Group.
Respondent Lawyers(s): Albert S. Watkins
Arbitrator(s): John N. Chapin, David J. Langseth, Jeffrey S. Fannon
Hearing Site: Chicago, IL
10-0484406/08/2011Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Sean O'Brien
Respondent Lawyers(s): Sean M. O'Brien
Arbitrator(s): Evalyn Lipton Fishbein
Hearing Site: Boston, MA
10-0525906/08/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Tom Krag
Respondent Lawyers(s): Kline Preston
Arbitrator(s): Jay R. Robinson
Hearing Site: Nashville, TN

11,393 Results

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