FINRA Awards for Mark A. Frankel

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Displaying 11-15 out of 15 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
15-00770	03/06/2017	Claimant(s): Michael Freese Claimant Lawyers(s): Bruce D. Oakes Respondent(s): Waveland Capital Partners LLC Respondent Lawyers(s): Brett G. Evans Arbitrator(s): Thomas F. Mahoney, Arthur Richard Tow, Mark A. Frankel Hearing Site: Des Moines, IA		$70,000
13-00554	06/30/2014	Claimant(s): Michael De Peaux Claimant Lawyers(s): Thomas W. Pleasant Respondent(s): Stifel, Nicolaus & Co.. Respondent Lawyers(s): James C. Browning Arbitrator(s): Ralph M. Goren, Stanley H. Michelstetter, Mark A. Frankel Hearing Site: Milwaukee, WI		$0
13-00718	05/16/2014	Claimant(s): Sud Family Limited Partnership Claimant Lawyers(s): Mark Sanders Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Alan S. Rafterman Arbitrator(s): Jerry D. Mc Cormack, Gerald J. Thain, Mark A. Frankel Hearing Site: Milwaukee, WI		Expungement
12-01528	09/23/2013	Claimant(s): Steven Barbeau, Steven P. Barbeau IRA Claimant Lawyers(s): Marc Fitapelli Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Caroline K. Hall Arbitrator(s): Susan L. Walker, Mark A. Frankel, Dennis M. Selby Hearing Site: Milwaukee, WI		Expungement
07-02363	12/03/2008	Claimant(s): Robert Roulette, Sharon Roulette Claimant Lawyers(s): R. George Burnett Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): David E. Bamberger Arbitrator(s): Gordon B. Shneider, Donald V. Anderson, Mark A. Frankel Hearing Site: Milwaukee, WI		$25,840