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FINRA Awards

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Displaying 9,461-9,470 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0688305/02/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Daniel Carmo
Respondent Lawyers(s): Sean M. Sullivan
Arbitrator(s): Sandra L. Malek
Hearing Site: Los Angeles, CA
10-0431205/02/2011Claimant(s): Sagepoint Financial.
Claimant Lawyers(s): Louis D. Tambaro
Respondent(s): Keith Golden
Respondent Lawyers(s): Keith Alan Golden
Arbitrator(s): Richard Charles Hotvedt
Hearing Site: Boca Raton, FL
10-0501205/02/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Teddy Ezzell
Respondent Lawyers(s): Teddy R Ezzell
Arbitrator(s): Dennis R. Frohlich
Hearing Site: Denver, CO
10-0559204/29/2011Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): James Queen
Respondent Lawyers(s): James Allen Queen
Arbitrator(s): Michael M. Hachigian
Hearing Site: Los Angeles, CA
09-0610104/28/2011Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Yana Kromo
Respondent(s): John Downs
Respondent Lawyers(s): William S. Wolfson
Arbitrator(s): E. William Pastor
Hearing Site: Philadelphia, PA
10-0288304/28/2011Claimant(s): Lawrence Stavitski, Michael Halen, Peter Doyle, Raymond Doyle, Samual Suhaka
Claimant Lawyers(s): Robyn Gnudi Kalocsay
Respondent(s): Randolph Hill
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
10-0329404/27/2011Claimant(s): Morgan Stanley
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Kevin Mccoy
Respondent Lawyers(s): Kevin M. Mccoy
Arbitrator(s): Robert H. Putnam
Hearing Site: Houston, TX
10-0465504/27/2011Claimant(s): Alex Glushanok
Claimant Lawyers(s): Mitchell H. Cobert
Respondent(s): Metlife Securities., Metropolitan Life Insurance Co.
Respondent Lawyers(s): Steven Yarusinsky
Arbitrator(s): Richard D. DeVita
Hearing Site: Newark, NJ
10-0492604/27/2011Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Khairi Abdur-Rahman
Respondent Lawyers(s): Khairi Dwayne Abdur-Rahman
Arbitrator(s): Steven R. Rolnick
Hearing Site: Boston, MA
10-0518704/27/2011Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Richard Goldman
Respondent Lawyers(s): Richard Goldman
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ

11,393 Results

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