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FINRA Awards for Tampa, FL

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Displaying 10 out of 243 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0253310/22/2024Claimant(s): Bruce Gallagher, Kathleen Gallagher, on behalf of his IRA, on behalf of her IRA, Bruce and Kathleen Gallagher, jointly
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Richard S. Zaifert, David M. Snyder, Carolyn E. Moore
Hearing Site: Tampa, FL
Checkmark IconExpungement
23-0060910/07/2024Claimant(s): Andrew Voegeli, Helene Hott, Clois E. Shook and Valeria A. Shook, The Warren And Donna Voegli Family Trust
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Eric Dec, James Kent, Emerson Equity LLC
Respondent Lawyers(s): Chad Weaver, Eric John Dec, George L. Guerra
Arbitrator(s): Mimi B. Osiason, Candi M. Rowen, Kevin M Schmitt
Hearing Site: Tampa, FL
Checkmark IconExpungement
23-0053906/21/2024Claimant(s): Heather Silvestro, Kyle Silvestro
Claimant Lawyers(s): Adolfo J. Anzola
Respondent(s): Goldman Sachs & Co. LLC
Respondent Lawyers(s): Brian A. Briz
Arbitrator(s): Ian S. Greig, Jacquelyn M. Shannon, Eric Greenstein
Hearing Site: Tampa, FL
Checkmark IconExpungement
23-0056302/12/2024Claimant(s): Steven Katz
Claimant Lawyers(s): Kevin Paule
Respondent(s): Wells Fargo Clearing Services, Benjamin F. Edwards & Company.
Respondent Lawyers(s): Jason Kempf, Leo Peraza
Arbitrator(s): John G. Sciandra, Wendi Blake, Natalie Paskiewicz
Hearing Site: Tampa, FL
Checkmark IconExpungement
23-0057301/31/2024Claimant(s): Manoj Bhartiya
Claimant Lawyers(s): Manoj Bhartiya
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Karimu F. Hill-Harvey, Elizabeth A. Townes, Natalie Paskiewicz
Hearing Site: Tampa, FL
Checkmark Icon$0
23-0185601/05/2024Claimant(s): Roman Raykis
Claimant Lawyers(s): Scott L. Silver
Respondent(s): International Assets Advisory
Respondent Lawyers(s): Bryan M. Ward
Arbitrator(s): Carole Crosby
Hearing Site: Tampa, FL
Checkmark IconExpungement
22-0052110/26/2023Claimant(s): Mary Ann Miller, Estate of Angeline Cagliola
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): David M. Snyder, Kenneth R. Starr, Jacquelyn M. Shannon
Hearing Site: Tampa, FL
Checkmark IconExpungement
22-0285508/22/2023Claimant(s): Kenneth Smith IRA
Claimant Lawyers(s): Chase Carlson
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Kenneth R. Starr, Michael Anthony Barrella, Kevin M Schmitt
Hearing Site: Tampa, FL
Checkmark IconExpungement
22-0297008/16/2023Claimant(s): William Durrant
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Esther Iglesias, Lucio Ojeda, Maria Ojeda
Respondent Lawyers(s): Esther Iglesias, Lucio Ojeda, Maria Ojeda
Arbitrator(s): Kathy A. Tatone, Thomas J. Patka, Caroline Josephine Welsh
Hearing Site: Tampa, FL
Checkmark IconExpungement
18-0291708/11/2023Claimant(s): Bill Nguyen
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): TD Ameritrade., Nguyen Capital Partners
Respondent Lawyers(s): Neil S. Baritz, W. Andrew Clayton
Arbitrator(s): Langfred W. White, Darryl C. Wilson, Gayle B. Carlson
Hearing Site: Tampa, FL
Checkmark Icon$1,207,550

243 Results

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