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FINRA Awards

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Displaying 9,501-9,510 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0165404/11/2011Claimant(s): James Mosher
Claimant Lawyers(s): James M. Mosher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathleen M. McDowell
Arbitrator(s): David J. Anderson, Kenneth E. Owen, Randall N. Kirk
Hearing Site: Los Angeles, CA
10-0421604/11/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Michael Harrill
Respondent Lawyers(s): Michael Ray Harrill
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Omaha, NE
10-0470204/11/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Michael Sonnichsen
Respondent Lawyers(s): David J. Hase
Arbitrator(s): Herbert H. Neuer
Hearing Site: Milwaukee, WI
09-0212404/08/2011Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): Frank M. Romano, William M. Lacy, Charles S. Chester
Hearing Site: Houston, TX
09-0435204/08/2011Claimant(s): Wachovia Securities
Claimant Lawyers(s): Todd Ratner
Respondent(s): Mitchell Yanow
Respondent Lawyers(s): Mitchell T. Yanow
Arbitrator(s): Bernard S. Carrey, Harry Dressler, Laura Jane Starr
Hearing Site: Boca Raton, FL
09-0174104/07/2011Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): David Gillimore
Respondent Lawyers(s): Richard A. Hoyer
Arbitrator(s): Nancy Hutt, Peter H. Daly, Harvey M. Baraban
Hearing Site: San Francisco, CA
10-0038004/07/2011Claimant(s): Christopher Hutchinson
Claimant Lawyers(s): Brian J. Sommer
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): Paul H. McKenna, Kathleen K. Murphy, James J. Puhala
Hearing Site: Pittsburgh, PA
10-0545904/07/2011Claimant(s): Morgan Stanley
Claimant Lawyers(s): Mauricio S. Beugelmans
Respondent(s): Denise Otten
Respondent Lawyers(s): Denise G. Otten
Arbitrator(s): Jack Friedman
Hearing Site: Newark, NJ
09-0652204/06/2011Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Michael J. Albert
Respondent(s): Mark Monin
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Ralph H. Erickson
Hearing Site: Los Angeles, CA
10-0136504/06/2011Claimant(s): Melba Fredericks
Claimant Lawyers(s): Francis X. Duda,
Respondent(s): Bradford Sharpe, Uvest Financial Services Group., The Bank of Edwardsville
Respondent Lawyers(s): John A. Bruegger, Matthew V. Bartle
Arbitrator(s): Alan A. Sachs, Richard Lawrence Gowan, Donald W. Moriarty
Hearing Site: St. Louis, MO

11,393 Results

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