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FINRA Awards

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Displaying 9,451-9,460 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0216705/06/2011Claimant(s): Kimon Peter Daifotis
Claimant Lawyers(s): Kendra S. Canape
Respondent(s): Jinni A. Harrigan Trust U/A dtd 4/26/02
Respondent Lawyers(s): Thomas Mauriello
Arbitrator(s): Linda M. McCoy, Philip Aaron Tymon, Janet Marie Krug
Hearing Site: San Francisco, CA
Expungement
10-0348605/06/2011Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Robert Connell
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Edward F. Koren, Joseph J. Dougherty, Aaron David Fray
Hearing Site: Philadelphia, PA
09-0543805/05/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): James Gracia, Lorrie Mayes
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s): Marilyn R. Lewis, Timothy E. Taggart, Leonard M. Goldstein
Hearing Site: Denver, CO
09-0556205/05/2011Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Ellen Sheridan-Cona
Respondent(s): Mitchell Kahn
Respondent Lawyers(s): Lawrence B. Khan
Arbitrator(s): Linda T. Pellegrino, Rick F. Suppa, Simone A. Muscarnera
Hearing Site: Newark, NJ
09-0703205/05/2011Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): Suzanne LaTour
Respondent Lawyers(s): Peter J. Attarian
Arbitrator(s): Mandel E. Himelstein, Michael D. Briggs, Alan Joseph Goldstein
Hearing Site: San Diego, CA
10-0476805/05/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C. Nowak
Respondent(s): Robert Tolstoi
Respondent Lawyers(s): Brian Reis
Arbitrator(s): Stephen L. Lister
Hearing Site: Newark, NJ
10-0490805/04/2011Claimant(s): Stamford Niou
Claimant Lawyers(s): Susan Poder MacFarlane
Respondent(s): Howard Hardin, Laurie Hardin
Respondent Lawyers(s): Mark J. Krudys
Arbitrator(s): Christopher M. McMurray
Hearing Site: Richmond, VA
Expungement
08-0350005/03/2011Claimant(s): Joseph Bardzilowski
Claimant Lawyers(s): Thomas H. Chiacchio
Respondent(s): Wachovia Securities, Francis Buckley, Harry Sze, Lawrence Parsons
Respondent Lawyers(s): David E. Strand
Arbitrator(s): Cynthia H. Plishtin, John R. Buehler, Alan Shaw
Hearing Site: Newark, NJ
09-0440305/03/2011Claimant(s): Eric Hudson
Claimant Lawyers(s): William J. Kupinse
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph E. Gehring
Arbitrator(s): Donald J. Zoeller, Daniel A. Dolan, John Caracciolo
Hearing Site: New York, NY
09-0645005/02/2011Claimant(s): Joseph Lobaito
Claimant Lawyers(s): Joseph Alfred Lobaito
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Heidi L. Swartz
Arbitrator(s): Martin Jay Siegel, Annamaria Boccia Smith
Hearing Site: New York, NY

11,393 Results

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