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FINRA Awards

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Displaying 9,521-9,530 out of 11,393 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0394703/28/2011Claimant(s): Joel Lagore
Claimant Lawyers(s): Mark L. Kowalsky
Respondent(s): David Vallie, Citigroup Global Markets., Morgan Stanley, Morgan Stanley & Co., Terrence Andrysiak
Respondent Lawyers(s): Tiffany C. Woodie
Arbitrator(s): Harvey Frank, Mark Wietchy, William P. Thorpe
Hearing Site: Detroit, MI
09-0547703/28/2011Claimant(s): Roy Cook, Oak Brook Strategic Investment Advisors
Claimant Lawyers(s): Ruth I. Major
Respondent(s): Baker Tilly Capital, Baker Tilly Investment Advisors, Baker Tilly Virchow Krause, LLP
Respondent Lawyers(s): Kevin D. McHugh
Arbitrator(s): Alan E. Case, Theodore W. Wrobleski, Joseph D. Savino
Hearing Site: Chicago, IL
10-0377503/28/2011Claimant(s): Morgan Stanley
Claimant Lawyers(s): Mauricio S. Beugelmans
Respondent(s): James McKinlay
Respondent Lawyers(s): James K. McKinlay
Arbitrator(s): Joseph B. Russell
Hearing Site: Syracuse, NY
08-0378103/25/2011Claimant(s): Vincent Dang
Claimant Lawyers(s): Adam D. Mitzner
Respondent(s): Arnoldo Santiago, Cynthia Shen, Marla Moskowitz-Hesse, Merrill Lynch Pierce Fenner & Smith Inc., Michael Chiou, Patricia Williams, Riley Etheridge
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Dean J. Dietrich, Terri Coster Boesch, Susan J. Alexander
Hearing Site: San Francisco, CA
09-0600603/25/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): John Faircloth
Respondent Lawyers(s): John E. Faircloth
Arbitrator(s): William A. Collison, Donita M. King, Lester Neal Ellis
Hearing Site: Raleigh, NC
08-0495303/24/2011Claimant(s): Ahmass Fakahany
Claimant Lawyers(s): Eric Seiler
Respondent(s): Ann Reese, Armando Codina, John Finnegan, John Thain, Joseph Prueher, Merrill Lynch Pierce Fenner & Smith Inc., Banc Of America Securities LLC, Bank of America Corporation, MER Merger Corporation, Merrill Lynch & Co..
Respondent Lawyers(s): Scott Musoff
Arbitrator(s): Alfred H. Kingon, Martin A. Edelstein, Thomas M. Amadio
Hearing Site: New York, NY
09-0381003/24/2011Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jeffrey Martin
Respondent Lawyers(s): Richard E. Olson
Arbitrator(s): David W. Martin, Mary E. Lockett, LeRoy Melvin Gilbertson
Hearing Site: Albuquerque, NM
09-0615403/24/2011Claimant(s): Kevin Afnan
Claimant Lawyers(s): Andrew A. Kabat
Respondent(s): Ameriprise Advisor Services., Ameriprise Financial Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Bert S Cliff, Ellen Holland Keller, Robert M Lustig
Hearing Site: Cleveland, OH
09-0705903/24/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Jeffrey Davis
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): James D. Knotter
Hearing Site: Los Angeles, CA
10-0412503/24/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael W. Starr
Respondent(s): Shawn Sullivan
Respondent Lawyers(s): Steven N. Fuller
Arbitrator(s): David Love
Hearing Site: Boston, MA

11,393 Results

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